Associate/Associate Director, Quality Control, Investment Banking
Core
Conduct independent reviews of transaction documents and due diligence to monitor and control business risks for Hong Kong and overseas investment banking business.
Role type
Associate/Associate Director, Quality Control in Investment Banking
Builds
Internal quality control policy, transaction approval processes, and IT systems for the Investment Banking Department
Domain
Investment Banking, Capital Markets, Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Transaction document review, Due diligence assessment, Regulatory risk assessment, Internal policy framework design, IT system improvement, Committee meeting participation, Cross-functional liaison, Data-driven reporting, Project management, Financial product knowledge
Preferred skills
Overseas capital markets experience
Technologies
Internal IT systems for transaction approval and due diligence
Responsibilities
Review and approve transaction documents, Assess regulatory and business risks of transactions, Prepare research reports and trend analyses, Organize internal committee meetings, Liaise with compliance and legal teams, Conduct ad-hoc projects on policy updates or system enhancements