Board Liaison and Compliance Manager

Role Responsibilities :

• Managing Board Meeting schedules, Agenda, Minutes, filing forms with ROC and other related matters.
• Liaising with Bank Corporate Secretarial team to manage ongoing compliances related to the Bank.
• Liaising with the Board to set up meetings and other related matters,
• Liaising with the external CS consultants to ensure that filings are completed within the regulatory time frame.
• Handling all Bank Subsidiary related compliances
• Assisting the Head of Legal in vetting Investment Banking / Vendor related agreements
• Responsible for maintaining firm wide restricted list and conflicts
• Responsible for maintaining a Chinese Wall between Investment Banking and Research
• Training all the IB, Sales and Research teams on Compliance matters related to IPO / FPO and QIPs etc.
• Managing AIF related Compliances.

Candidate Profile :

Company Secretary who has in the past worked in a Broking / Investment Banking house.

Experience : At least 4-6 years of experience in handling Corporate Secretarial work related to Capital Markets.

Please note this is a 1-year fixed term contract, subject to extension basis performance and requirement.