VP of Compliance

11 hours ago

Singapore Pure Hong Kong Full time

Responsibilities: Lead efforts to identify, assess, and resolve potential and actual conflicts of interest across investment banking, capital markets, commercial banking, and mergers and acquisitions. Review equity research for both the US and Canada, ensuring adherence to relevant regulatory safe harbor rules, including SEC rules and local regulations. Collaborate with Global Control Room partners to implement and enhance conflict management frameworks, policies, and procedures continuously. Drive the enhancement of conflict management systems and tools, ensuring they meet regulatory expectations and align with business requirements. Act as a senior advisor to business units and compliance stakeholders on Core Control Room activities, while mentoring junior team members to promote a culture of compliance and continuous improvement Qualification: Over 8 years of work experience in compliance in a reputable investment

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