Regulatory Compliance Investment Banking
Our client is a well-established bank looking to hire an experienced Regulatory Compliance Officer. As a subject matter expert, you will :
- Perform compliance gap assessment and ensure compliance against group policies and regulatory requirements
- Anticipate, identify and provide advice to the front line regarding regulatory changes, investment banking transactions, insider trading and Chinese Wall.
- Provide guidance to the business and assist with ad-hoc projects related to regulatory compliance.
- Monitor trades to ensure compliance with regulatory requirements
- Review regulatory submissions and be the point of contact with regulators
To qualify, individuals must possess:
- Minimum 5+ years' significant practice in compliance advisory, risk management and regulatory compliance.
- Strong experience dealing with regulators and proven track record in regulatory compliance
- Good exposure to Investment Banking especially M&A (Merger and Acquisition) or Corporate Finance.
- Prior experience advising front office on compliance matters
If your profile meets the requirement above, feel free to apply directly or contact me for further information.
Kindly note that only successful candidates will be contacted.
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