VP - Investment Banking & Capital Markets Compliance - Bank of America - Hong Kong

Job description
• Establish and maintain effective working relations with all Asia regional capital markets and investment banking (“CM/IBK”) employees, including senior IBK management.
• Establish and maintain effective working relations with other CM/IBK risk partners (e.g., Legal and Business Selection and Conflicts).
• Provide day-to-day advice to CM/IBK employees based on regulatory and internal policies, including, but not limited to, visa letter sponsorships, HK independence sponsor checks and pitchbook guidance.
• Monitor regulatory changes that have implications on CM/IBK in the region and advising CM/IBK management accordingly.
• Assist in creating and implementing additional processes / policies to address regulatory changes and expectations.
• Review and monitor existing Compliance policies and ensuring they are consistent with global and local regulatory practices (including co-coordinating with respective country Compliance colleagues for local regulatory input).
• Monitor and handle situations/queries regarding CM/IBK employees’ outside business interests and investments.
• Provide guidance and analysis on new business initiatives within Asia.
• Conduct internal Compliance training to Asia regional CM/IBK employees.
• Conduct and assist with the development of new and/or update existing Monitoring & Testing items for the regional CM/IBK Compliance Program from a local and global perspective.
• Investigate regulatory issues and breaches, liaise with Legal and advise senior CM/IBK management with respect to such issues.
• Assist in managing regulatory enquiries and inspections.
• Manage regional CM/IBK internal audits from a Compliance perspective.
Desired Skills and Experience
A minimum of 5 years relevant Investment Banking & Capital Markets Compliance experience

Fluent English language ability, both oral and written
Must have the ability to represent compliance, enforcing a culture of compliance while considering the needs of the business
Motivated, energetic, detail-oriented, organized, articulate, willing to take responsibility, and comfortable speaking and responding to concerns and questions regarding each of the areas within their responsibility

Currently located, and eligible to work in, Hong Kong

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