Provide regulatory and firm compliance policy advice/guidance to equity capital markets, as well as debt capital markets and syndicate teams, and management on issues related to underwriting and private placements, marketing and selling securities offerings, as well as information barriers and other internal controls and issues.
Provide AML guidance to the management and business teams, build AML and transaction monitoring system for the company.
Liaise and communicate with the regulator on matters such as license application, inquiries and inspection.
Oversee and coordinate with business, control room and legal regarding the firm’s information barrier policy and manage conflict of interest.
Provide guidance to business management with respect to supervision structure, process and responsibilities and ensure adherence to guidelines and checklists, ensuring procedures and controls set out in the IBD operating proced...
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