Compliance & Controls Officer, Equity Capital Markets Hong Kong

About the role

DBS is a top equity house and market leader in REITs and property trusts in the region. Its Equity Capital Markets Group advises and sponsors corporate clients on equity fundraising, including primary and secondary share offerings and pre-IPO platforms. This Compliance & Controls Officer role sits within the Equity Capital Markets Hong Kong COO team, working across the Global Financial Markets COO teams, and is based in the Center.

Key responsibilities

• Collaborate with Central Compliance to give timely, practical compliance advice and keep teammates informed of regulatory updates from the SFC, SEHK, HKFE and others
• Work with business units and other DBS Group compliance teams to set up and implement compliance policies and procedures
• Develop and run a compliance monitoring review programme covering key regulatory risks and suggest improvements to the internal control framework
• Assess compliance training needs and deliver, review and run training
• Act as the main interface with regulators and coordinate registrations, notifications and annual returns
• Monitor controls such as grey/blackout lists, data leakage, CPT fulfilment, deal document filing, authorized signatories and the Business Contingency Plan
• Review controls and operational risk, including RCSA, internal audit reviews and compliance/risk committee attendance
• Align with Singapore Capital Markets on compliance and policies, and cover accounting and financial processes such as capital monitoring, invoicing and expenses

Required profile

• Degree in Accounting, Finance, Business Administration or Law
• 5-8 years of compliance, legal or audit experience in Hong Kong financial institutions (SFC licensed corporation preferred), or a banking regulator, or a law/audit/accountancy firm with banking or financial services regulatory advisory experience
• Good exposure to regulation is a must
• Team player with the ability and experience of driving change