Compliance | Mutiple Openings | International Chinese Investment Bank

The Company

Our client is a Top-tier Chinese investment bank. Their mission is to provide first-class financial services to Coporates, institutions and individual wordwide. They offer a variety of financial services and advisory on investment banking, Fixed income, EQ, asset management, private EQ investment, wealth management as well as research.

The team

You will be joining the compliance team which consists of 40 people. The team is divided by banking departments and covers both Legal and Compliance processes and projects. 

Responsibilities

• Offer advice to serveral departments including the Investment Banking and Capital Markets Department for regulatroy matters
• Work hand in hand with high level stakeholders to address regulatory Risk and ongoing issues.
• Partner with internal divisions (Business, IT, Operations, etc.) to implement new compliance frameworks.
• Carry out Compliance review and Control testing for public trading activities.
• Give compliance advice on business units and control function departments.

Experienced needed

• Bachelor's Degree in finance or law, or other other disciplines
• HK compliance experience in an investment bank or securities firm
• Primary Market Compliance experience would be a strong plus
• Compliance review and control testing experience
• Outstanding legal and compliance background
• Certified accountant or lawyer would be a PLUS
• Excellent communication skill in Cantonese, English and Mandarin

How to apply

To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Sam NG on + 852 6470 0080 or email: sam.ng@unity-partners.com