AVP/VP, Control Room & Conflicts Management, Compliance
Our client is a leading Global Banking Group with an established investment banking business in Asia. As part of continued investments in building out and strengthening the Compliance function, an excellent opportunity has arisen for an experienced Compliance professional to join their Control Room Compliance Team, based in Hong Kong.
Reporting to the Regional Functional Leader, you will be part of the Asia Control Room team as a key member in Hong Kong. You will be involved in the day-to-day control room operations, reviewing insider lists, wall crossings, disclosures, research reports and perform surveillance and monitoring on watch / restricted lists and trading activities. Additionally you will work on conflicts management, research clearance, coordinate with Legal and Compliance to monitor restrict sales, trading and research activities and log and evidence breaches on internal systems. As a key member of the team, you will also provide advice to the business on trading and restricted list related queries, potential conflicts, prepare training materials to the business and compliance teams and work with the teams on policy and procedural development and solutions.
To qualify, individuals must possess:
- University degree with at least 7 years' experience in Control Room Compliance experience. Less experienced candidates would be considered as AVP
- Experience in Conflicts Management and / or Surveillance and Monitoring would be advantageous
- Other Compliance experience in Investment Banking, Securities or Asset Management would also be considered
- Good understanding of regulatory rules related to investment banking and securities activities
- Familiarity to the Front Office environment and ability to partner with / interact closely with the business
- Excellent communication skills with fluency in English and Chinese (Cantonese and / or Mandarin)
Contact Chloe Yang (852) 3103 4311 or firstname.lastname@example.org quoting reference number AH 220918.
Data provided is for recruitment purposes only.