Group Regulatory Compliance (Global Investment Banking)
- Provide regulatory compliance advice to Global Investment Banking.
- Drive the implementation of new regulatory requirements applicable to Global Investment Banking.
- Provide regulatory compliance support for investment banking transactions.
- Develop, implement and maintain policies and procedures in respect of the control room function.
- Advise Global Investment Banking on the Bank's policies and procedures including but not limited to those relating to insider trading and Chinese Wall.
- Review conflicts of interest assessment performed by Global Investment Banking to ensure that any potential or actual conflicts of interest are addressed.
- Monitor and review trades to ensure compliance with regulatory requirements and internal policies and procedures.
- Review regulatory submissions.
- Manage projects assigned.
- Act as the liaison with regulators, external and internal auditors.
- Provide regulatory compliance training
- Possess a university degree.
- Minimum 5-8 years of relevant experience in investment banking related business or function.
- Knowledge with laws, regulations, notices and guidelines applicable to investment banking activities required.
- Proven leadership, organization and facilitation skills.
- Good interpersonal and communication skills.
- Proactive, independent and resourceful.
- Embodies team work.
- Ability to adapt to changes.
- Ability to work under time constraint and pressure.