IBD Compliance Advisory - Leading Investment Bank
A top-tier US investment bank is looking for a Compliance Advisory professional to join their Investment Banking team providing compliance advice on business, regulatory and legal issues About the Company
Our client is a leading US-based investment bank looking for a driven individual with compliance or legal experience within investment banking, securities, or law firm to join their APAC Investment Banking Division to offer advice to the team on regulatory and compliance issues as well as to effectively implement control and surveillance mechanisms according to external regulations and internal policies. The selected candidate will get the chance to work with a range of stakeholders from various internal departments. Candidates with relevant experience speaking fluent English and Mandarin are welcome. Responsibilities
- Provide advice to the Investment Banking Division on compliance, regulatory, and reputational issues, as well as on new business initiatives and significant business changes impacting the firm
- Design and implement controls and surveillance programmes in adherence to laws, regulations, and firm policies
- Investigate transactions and activities of bankers and perform analysis to minimise risks.
- Ensure that appropriate policies and procedures are in place for the Investment Banking Division in response to regulatory and business changes while working closely with Legal and other businesses
- Liaise with regulators on inspections and enquiries
- Prepare and deliver training to the Investment Banking Division on internal policies and procedures, as well as laws, regulations, and risks.