SVP / VP - IBD Compliance

Our client, a well-established investment group to invite high calibre candidates to join their company.

Responsibilities: 

• Develop and implement control room operation process including Chinese Wall policy, watch list update, restricted list update, research restriction update etc.  Have compliance experience on handling independence check, conflict of interest clearance, new project engagement and Anti-Money Laundering (AML) clearance.
• Provide a full spectrum of compliance & regulatory advice and support to corporate finance businesses, covering IPO, ECM, DCM, M&A, Compliance Advisor and other Listing Rules or Takeover Code related transactions & capital raising activities.; 
• Provide control room and research compliance function, including to provide clearance for research reports, pre-deal research reports, marketing and roadshow materials and other research products.
• Advise on licensing, staff dealing, CPT and other compliance review & projects.
• Handle regulation inspection and enquiries
• Ensure the company is in compliance with applicable laws and regulations;
• Liaise with SFC in on-going matters in relation to the license

Requirements:

• Degree holder in Business Administration, Law or relevant professional qualification;
• At least 5 years’ experience in a securities firm
• Solid experience in communicating with SFC and handling regulators inspection
• Familiar with relevant market practice;
• With sound analysis and problem solving capability;
• Excellent spoken and written English and Chinese including Mandarin.

To apply, please send your detailed resume or contact Boei Yan at 3460 2012 for a confidential discussion. Only shortlisted candidates will be notified.
Applicants who are not contacted within two weeks may consider their applications unsuccessful.
All data collected will be used for recruitment purpose only & will be used strictly confidential.

Conners Consulting Limited 2005 Kai Tak Commercial Building 317 Des Voeux Road Central Hong Kong
Tel: (852) 3996 8090
Website: http://www.connersconsulting.com/