VP - Compliance Specialist IBD

This role will contribute to the independent compliance oversight of Front Line Unit (“FLU”) and Control Function (“CF”) performance and any related third party/vendor relationships in alignment with the compliance risk management program and the global compliance enterprise policy.

As a member this role applies business acumen to promote a culture of compliance and the identification, escalation and timely mitigation of compliance risks by assisting FLU or CF compliance teams with any of the following activities:

• Create and maintain a regulatory inventory.
• Update relevant policies to ensure they reflect regulatory requirements for FLU/CF.
• Contribute to compliance risk assessments.
• Contribute to monitoring and testing coverage plans and related metrics.
• Monitor and test the effectiveness of the front line unit and control function compliance risk controls for FLU/CF.
• Identify aggregate, report and escalate compliance risks, issues and control enhancements for FLU/CF.
• Assist in the execution of governance and management routines.
• Identify compliance training needs and inspect FLU/CF and third party participation for FLU/CF.
• Assist with preparations for regulatory exams and audits for FLU/CF.
• Inspect that commitments made regarding actions in response to Matters Requiring Attention (“MRAs”) and other actions are completed for FLU/CF.
• Escalate regulatory relations concerns to Compliance Manager or Executive.

Key Requirements -

• Minimum 5 years of relevant investment banking and capital markets compliance experience. In addition to the specific investment banking and capital markets compliance experience, relevant working experience in HKMA and SFC is a plus.
• The candidate needs to demonstrate good knowledge and experience in dealing with various regulatory framework in various jurisdictions in APAC.
• Bachelor's degree or equivalent experience.