L&C10239: Associate/ Senior Associate, Compliance

Key Responsibilities 

·     Maintain control room functions

·     Handle compliance matters related to corporate finance and global markets, including compliance review, conflict/independence checks, NDA and mandates vetting, placing transaction review and communication with back-office

·     Collaborate with research department, proprietary trading staff and senior management in respect of daily compliance issues, new development in regulatory requirements and market tends, etc to maintain high level of awareness of potential risks

·     Provide training to BOCOM staff on updated compliance rules and regulations

·     Provide support in legal work and internal communications

Requirements 

·     Bachelor degree in Law, Accounting, Business or a related discipline

·     3 to 5 years of relevant compliance experience with financial institutions and/or regulatory bodies

·     Experienced in investment banking business or control room functions with good knowledge in SFO and/or Listing Rules, operations, products and services, and a sound understanding of current trends in investment banking operations and industry

·     In-depth knowledge of regulatory requirements and financial markets

·     Pragmatic, proactive and patient with strong determination to understand thoroughly about contentious issues and resolve them accordingly

·     Excellent communication skills in both spoken and written English and Chinese with fluency in Mandarin

·     Ability to manage multiple projects and work effectively in a highly confidential and fast-paced environment