Compliance Expert for Investment Banking Division

4 days ago


Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

Job Overview

Larson Maddox is seeking an experienced Compliance Specialist to join our Investment Banking Division team.

About the Role

The successful candidate will oversee compliance matters related to IBD products and services, ensuring adherence to regulatory requirements and internal policies.

Key Responsibilities

  • Monitor and manage information barriers in control room operations.
  • Provide guidance on compliance matters and conduct risk assessments of IBD activities.
  • Develop and implement compliance policies and procedures.
  • Collaborate with departments to address compliance issues and implement corrective actions.
  • Prepare and present compliance reports to senior management.

Requirements

  • Minimum 7 years of experience in IBD compliance or related fields.
  • Strong understanding of regulatory requirements and compliance frameworks.
  • Excellent analytical and problem-solving skills.
  • Ability to work independently and as part of a team.
  • Strong communication and interpersonal skills.


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