Director, Private Side Compliance (Legal & Compliance)

About the role

We are looking for a Director to join the Private Side Compliance team within Legal & Compliance. The role provides advisory and oversight for Investment Banking and Global Capital Markets activities, ensuring compliance with regulatory requirements and internal policies.

Key responsibilities

• Advise on compliance policies and evolving regulatory requirements affecting IBD and GCM.
• Partner with Legal, Risk, and business stakeholders on transaction‑related and strategic matters.
• Draft, update and maintain policies, procedures and compliance notices.
• Develop and deliver compliance training and related materials.
• Review new business initiatives and infrastructure changes from regulatory and firm perspectives.
• Prepare and analyse supervisory metrics and reporting.
• Lead projects to enhance internal controls and compliance frameworks.
• Respond to regulatory inquiries and examinations in coordination with Litigation and Regulatory Relations.
• Collaborate with regional and global Legal & Compliance teams on cross‑border matters.
• Support engagement with regulators to maintain transparent relationships.

Required profile

• Degree in Law, Business, Accounting or a related discipline.
• 6–8 years of relevant experience in compliance within financial services, a regulator, exchange or law firm.
• Understanding of regulatory frameworks for investment banking and capital markets, including information barriers and conflicts clearance.
• Strong judgment, ability to identify and escalate risks, and manage multiple priorities in a fast‑paced environment.
• Excellent communication skills in English; additional Asian language skills (Mandarin/Cantonese) are advantageous.

Required skills

• Microsoft Excel
• Microsoft PowerPoint
• Microsoft Office Suite