Compliance & Controls Officer, Equity Capital Markets Hong Kong

Business Function

DBS is a top equity house and a market leader in REITs and property trusts in the region. The Equity Capital Markets Group provides equity funding solutions to our corporate clients in the region, and acts as an intermediary between issuers and our investing clients. We advise and sponsor our clients in their equity fund-raising exercises in connection with their listing ambitions on regional stock exchanges. We help our clients to raise equity funds through primary offering and/or secondary offering of shares and REITs, as well as pre-IPO platform.

Responsibilities

• Collaborate with Central Compliance to provide timely and practical compliance advice
• Keep teammates informed of all regulatory updates from regulators e.g. Securities & Futures Commission (SFC), The Stock Exchange of Hong Kong Limited (SEHK), Hong Kong Futures Exchange Limited (HKFE) etc and work closely with Central Compliance to provide practical advice to ensure ongoing compliance
• Work closely with relevant BUs and other DBS Group compliance teams to establish and implement appropriate compliance policies and procedures
• Develop and implement compliance monitoring review program covering all key regulatory risks and be able to make constructive suggestions to improve the internal control framework
• Assess BU’s compliance training needs and develop, review and conduct trainings that suit business needs
• Act as the main conduit/interface and foster good relations between BUs and various regulatory authorities
• Licensing and coordination and filing of all registrations and notifications with regulatory bodies including filing annual returns
• Internal compliance monitoring: Grey/blackout lists, Data leakage, CPT fulfillment, deal document filing, authorized signatories, Business Contingency Plan etc
• Controls and Operational Risk monitoring, review and reporting. Includes RCSA, Internal Audit reviews, attending compliance/risk committees etc
• Work closely with Singapore Capital Markets to ensure alignment on compliance, policies and procedures etc
• Provide coverage on accounting and financial processes including capital monitoring, invoicing, expenses
• The role is part of the Equity Capital Markets Hong Kong COO team and requires collaboration across the Global Financial Markets COO teams

Requirements

• Degree holder in discipline related to Accounting, Finance, Business Administration or Law
• 5 – 8 years of experience in compliance / legal or audit in Hong Kong financial institutions, SFC licensed corporation preferred; or a local or overseas banking or relevant financial supervisory body; or a professional legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience
• Good exposure on regulatory dealing a must
• Good team player
• Have the ability and experience in driving change

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