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Ashford Benjamin Ltd

Investment Bank (IBCM) Compliance (D/ED) - Global Investment Bank

Ashford Benjamin Ltd Hong Kong
Posted 1 hour ago Permanent Competitive
V
Posted by
Vivian Chen
Associate Director
We are instructed on a senior investment banking compliance roles with one of the global investment banks, candidate with legal/ regulator/ in-house background will be considered.

Responsibilities:

  • Advising and supporting the Investment Bank and Capital Market business on a wide range of internal and transaction-related compliance matters
  • Drafting compliance framework, policies and procedures
  • Participate in regulatory updates, new product and activity approvals projects
  • Provide guidance with control room functions and process, including advise and management of conflict of interests, information barrier, wall crossing etc
  • Liaising with regional and global Legal and Compliance colleagues on matters pertaining to private side business

Requirements:

  • Minimum 12 years of compliance experience in investment banking and capital market business compliance advisory gained from investment banks, legal practice or regulators

 

ABOUT COMPANY
Hong Kong
HR & Recruitment
Ashford Benjamin is a leading executive search firm, focusing on the legal, risk & compliance professions. The majority of our projects are retained, ...
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