IBD/Securities Compliance (Associate, AVP Level)

Responsibilities:

• Reponsible for assisting the team to implement policies and procedures to ensure business activities comply with the rules and regulations.
• To provide compliance advice to different corporate finance business unites and assist the compliance team to implement policies and procedures to ensure business activities comply with the rules and regulations.
• To identify, resolve and escalate compliance risk on a timely manner.
• To handle matters on AML, to implement controls over AML in order to comply with all relevant rules and regulations and market’s best practice.
• To perform compliance monitoring over business activities and perform any compliance review if necessary and report to Deputy Head of Compliance

Requirements:

• University degree in Finance / Risk Management / Business / Law or other related disciplines
• At least 3 years’ experience in securities firm providing compliance & regulatory advices or 3 years experience in corporate finance businesses, covering IPO, ECM, DCM, M&A, Compliance Advisor and other Listing Rules/Takeover Code related transactions & capital raising activities.
• Experience and knowledge in financial industry rules and regulations
• Fluent in Mandarin and English