Associate Director, IBD Compliance, Compliance

Position Description

The IBD Compliance has overall responsibility for ensuring CSI complies with its own internal policies and procedures, and all applicable legal and regulatory requirements, including the Securities & Futures Ordinance, Corporate Finance Adviser Code of Conduct, Listing Rules, Takeover Code and Regulation of Sponsors and Compliance Advisers in Hong Kong and globally. CSI’s Investment Banking Department covers all aspects of Capital Markets and M&A activities, including primary and secondary equity issuance and Debt Capital Markets activities. CSI also has capital markets and investment banking advisory activities in London, Sydney, Singapore and India etc.

The role requires a collaborative, pragmatic, and commercially focused and relationship based approach to compliance management.

Key Areas of Responsibilities

• Handle and coordinate IPO independence checks along with IB deal team and various CSI internal functions
• Advise IB Business on applicable rules (in particular SFC’s Code of Conduct and SEHK’s Listing Rules) and various CSI policies  
• Perform regular monitoring and checks on IBD activities
• Review, revise and enforce CSI policies that primarily affect the IB Business
• Handle or assist with policy breaches, internal investigations, and regulatory enquires/proceedings
• Provide/arrange trainings to IB bankers together with IB Business Management and other functions
• Work closely with other compliance teams on AML, licensing and surveillance matters
• Work closely with local compliance teams on country-specific issues/matters

 Requirements

• Bachelor or above degree in Law/Accounting or other relevant professional qualifications
• At least 8+ years of similar experience in a compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof;
• Relevant tertiary qualifications
• Sound knowledge of Hong Kong and global investment banking related regulations and company legislation
• Strong communication and interpersonal skills, and excellent relationship building skills
• Strong analytical skills and ability to make sound judgments especially in the absence of absolute clarity in the legal and regulatory environment
• Relevant experience in IBD compliance will be required
• Working relationships and experience with local regulators will be highly regarded
• Good command of written and spoken English and Chinese (including Mandarin)

The ideal candidate will be

• Focused on achieving results for the CSI Group
• Strategically focused and yet practical and commercially minded
• Able to navigate through diverse cultures, and develop and lead strategies in the face of an increasingly-regulated landscape
• Able to communicate credibly with and influence senior management; employees and regulators
• An independent self-motivated individual who is bright, with good, sound judgment, and mental toughness.

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