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This is an exciting opportunity with a global banking group, with solid and established compliance culture in placed. They are looking for a VP, IBD Compliance to work under their Compliance Advisory Team, focusing on their investment banking business.

I’m currently recruiting for a VP, IBD Compliance for a global investment bank, reporting into Regional Head of IBD Compliance to carry out the following duties. Chinese reading, writing skills and prior experience in an investment banking environment is a must.

Providing compliance advisory to IBD, ECM and M&A transactions
Tracking and implementing regulatory changes based on recent regulatory developments
Working closely with priviate side compliance function including control room, conflicts and research compliance
To conduct regulatory reviews and inspections in coordination with the external reviewer and regulator.
Continue to enhance existing investment banking division’s internal control
Requirements
A degree in Law, Finance, Accountancy or related professional qualifications is a definite advantage
Minimum 10+ years’ experience in compliance, legal or audit department of a bank or licensed financial institution; or relevant financial supervisory body; or a professional legal or audit / accountancy firm with experience in banking or financial services
Hands-on knowledge on banking and financial sector laws and regulations, compliance best practices, as well as products and operations of corporate banking business.
Priority will be given to candidates with compliance experience in corporate & investment banking field.
Ability to build rapport and trust with BU/SUs while maintaining independent compliance judgment
Ability to identify problems, recommend solutions and make timely escalation to management as appropriate.