Head of IBD Compliance - HK Investment Bank Head of IBD Compliance - HK Investment Bank …

Arion House
in Hong Kong
Permanent, Full time
Last application, 07 Mar 21
Arion House
in Hong Kong
Permanent, Full time
Last application, 07 Mar 21
The Head of IBD Compliance has overall responsibility for ensuring the firm complies with its own internal policies and procedures, and all applicable legal and regulatory requirements in Hong Kong and globally. The firm's Investment Banking Department covers all aspects of Capital Markets and M&A activities, including primary and secondary equity issuance and Debt Capital Markets activities. The firm also has capital markets and investment banking advisory activities in London, Sydney, Singapore and India. The role requires a collaborative, pragmatic, and commercially focused and relationship based approach to compliance management.

Responsibilities include: 

  • Provide Compliance advice to Investment Banking operations, predominantly in Hong Kong but also globally as the business expands.

  • Resolve compliance issues (whether in relation to its products, businesses or otherwise) in the best interests of the Company and its clients.

  • Conduct investigations into potential breaches of policies by staff.

  • Respond to law enforcement or regulatory requests.

  • Assist the Head of Compliance to proactively communicate with local regulators regarding its compliance program and other matters as necessary. 

  • Assist in the strategic design and implementation of the Investment Banking Compliance Program for the Group.

  • Establish, implement and maintain relevant regulatory compliance policies and procedures applicable to investment banking products, and ensure compliance practices are consistent with group policies.

  • Coordinate with regional jurisdictions to ensure compliance with relevant legal and regulatory requirements.

  • Provide training, support and guidance on regulatory and compliance matters to all investment banking staff.

  • Attend the firm's Deal Review Committees.

  • Deal with local regulators where the firm's activities are so supervised as required.

  • Represent the firm in both internal and external meetings relating to compliance matters and regulatory affairs.

  • Plan, manage and undertake the Group Compliance projects.

  • Undertaking certain Compliance monitoring of its investment banking business.


  • Relevant tertiary qualifications

  • 5+ years of relevant experience, at least 2 years of which must be within a securities or investment banking business or regulator.

  • Sound knowledge of Hong Kong and global investment banking related regulations and company legislation.

  • Strong communication and interpersonal skills, and excellent relationship building skills.

  • Strong analytical skills and ability to make sound judgments especially in the absence of absolute clarity in the legal and regulatory environment.

  • Near-native written and spoken fluency in English, both written and verbal.

  • Mandarin and or Cantonese skills will be highly regarded.

  • Working relationships and experience with local regulators will be highly regarded.

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