Senior Compliance Advisor (IBD focus) at Oversea Chinese Banking Corp

, Hong Kong, China -

Full Time

Start Date

Immediate

Expiry Date

28 Jun, 26

Salary

0.0

Posted On

31 Mar, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Regulatory Compliance Advice, Corporate Finance, ECM, Bond Issuance, Debt Issuance, Bookbuilding, Order Collection, Hong Kong Regulatory Requirements, Control Room Functions, Inside Information Management, Wall Crossing, Information Barrier, Personal Account Dealing, Compliance Policies, Analytical Skills, Stakeholder Management

Industry

Banking

Description

WHO WE ARE: As Singapore’s longest established bank, we have been dedicated to enabling individuals and businesses to achieve their aspirations since 1932. How? By taking the time to truly understand people. From there, we provide support, services, solutions, and career paths that meet their individual needs and desires. Today, we’re on a journey of transformation. Leveraging technology and creativity to become a future-ready learning organisation. But for all that change, our strategic ambition is consistently clear and bold, which is to be Asia’s leading financial services partner for a sustainable future. We invite you to build the bank of the future. Innovate the way we deliver financial services. Work in friendly, supportive teams. Build lasting value in your community. Help people grow their assets, business, and investments. Take your learning as far as you can. Or simply enjoy a vibrant, future-ready career. Your Opportunity Starts Here. How you succeed To succeed in this role, you'll need to stay up-to-date with changing regulations and industry developments. You'll work collaboratively with product owners, risk managers, and other stakeholders to identify and address compliance risks. Your analytical skills and attention to detail will help you identify potential issues and develop effective solutions. What you do - Provide regulatory compliance advice to IBD on corporate finance activities, including ECM (excluding sponsor IPO work), secondary equity placements, bond/debt issuance, bookbuilding, order collection, and related distribution activities. - Ensure compliance with all applicable Hong Kong regulatory requirements, including those relating to Corporate Finance Adviser, Exempted Fund Manager, and Exempt Principal Trader statuses. - Advise on regulatory matters arising from corporate finance issues raised by IBD. Liaise closely with key business stakeholders and infrastructure functions to resolve compliance issues. - Proactively monitor, analyse, and communicate new and existing regulatory developments affecting IBD. - Highlight potential regulatory impacts to management and propose appropriate changes, controls, or mitigation measures. - Identify regulatory risks and manage IBD’s risk appetite, keeping management promptly informed. - Assist the Group in carrying out Control Room functions, including monitoring and managing inside information, maintaining watch/ restricted lists, overseeing wall crossing processes and management of information barrier, monitoring staff personal account dealing and research related regulatory issues. - Develop, review and update compliance policies and procedures - Participate in new product/service approval processes on corporate finance transactions. - Prepare and deliver compliance training covering corporate finance compliance, conduct requirements, inside information handling, and obligations relating to SFC EFT exemptions. - Assist in monitoring and reporting compliance-related matters to management. - Support ad-hoc investigations and enquiries and undertake ad-hoc tasks and compliance projects as needed. Who you are - University degree in law, finance, accounting or with relevant qualification - ECF-Compliance accredited preferred (Core or Professional level). - Solid 6-8 years of compliance experience in Hong Kong corporate finance / investment banking / ECM / debt capital markets compliance. - Experience with bookbuilding, syndication, order placement, and corporate finance distribution compliance essential. - Experience with SFC Takeovers Code, control room or inside information management is an advantage. - Compliance experience in HK ECM (IPO and secondary issuances/placements), DCM transaction activities, especially having previous experience in compliance function for investment banking / corporate finance advisory/ ECM and DCM functions - Strong knowledge of Hong Kong Listing Rules, SFC Codes & Guidelines, and regulatory frameworks relating to ECM and DCM businesses - Experience working with syndication desks, equity sales/trading (for wall-crossing or distribution compliance) is a plus. - Strong analytical, communication and stakeholder management skills. - Familiar with the HK Listing Rules, and especially, having experience in compliance working with DCM, ECM/Equity Syndication function on primary equity issuance, as well as on equity sales & trading function Regulatory compliance experience in HK Takeover code transaction experience is a plus. ECF-Compliance accredited. What we offer: Competitive base salary. A suite of holistic, flexible benefits to suit every lifestyle. Community initiatives. Industry-leading learning and professional development opportunities. Your wellbeing, growth and aspirations are every bit as cared for as the needs of our customers. Let’s build the bank we need for the future we want. Find the best version of yourself in a friendly, supportive team. Build lasting value in your community. Help people grow their assets, business, and investments. Take your learning as far as you can. Or simply enjoy a vibrant, future-ready career. Your Opportunity Starts Here Introduce yourself to our recruiters and we'll get in touch if there's a role that seems like a good match. As the longest established Singapore bank, formed in 1932 from the merger of three local banks, we have grown from strength to strength to become a regional financial services group. With a deep history in Asia, we offer the most comprehensive coverage across ASEAN and Greater China, complemented with a presence in the leading economies of New York, London and Sydney. We are the second largest financial services group in Southeast Asia by assets with one of the world’s highest credit rating (Aa1 by Moody’s and AA- by both Fitch and S&P). We offer private banking services through our wholly-owned subsidiary, Bank of Singapore, which operates on a unique open-architecture product platform to source for the best-in-class products to meet its clients’ goals. Our insurance subsidiary, Great Eastern Holdings, is the oldest and most established life insurance group in Singapore and Malaysia.

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Responsibilities

The role involves providing regulatory compliance advice to the Investment Banking Division (IBD) on corporate finance activities, including equity and debt issuance, and ensuring adherence to all applicable Hong Kong regulatory requirements. Key duties include monitoring regulatory developments, managing compliance risks, assisting with Control Room functions, updating policies, and delivering compliance training.