Associate Director, IBD Compliance, Compliance
CLSA(6 months ago)
About this role
The IBD Compliance role ensures CSI’s Investment Banking Department complies with internal policies and all applicable legal and regulatory requirements across Hong Kong and other jurisdictions. The position supports capital markets, M&A and advisory activities globally and requires a collaborative, pragmatic and commercially focused approach. The role interfaces with internal stakeholders and regulators to uphold compliance standards while enabling business objectives.
Required Skills
- Regulatory Knowledge
- Compliance Monitoring
- Policy Enforcement
- IPO Checks
- Internal Investigations
- AML
- Licensing
- Surveillance
- Stakeholder Management
- Training Delivery
+2 more
Qualifications
- Bachelor Degree (Law or Accounting)
- Relevant Professional Qualifications
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