Description

My client is looking for IBD control room compliance up to VP/D

Job Responsibilities:

• Handle daily Control Room tasks, including maintenance of watch list and restricted list, wall-crossing, and related post-trade surveillance

• Compliance advice in Chinese Wall related areas

• Perform conflict clearance of private side transactions, client on-boarding of investment banking clients, sponsor independence check, participation in investment bank deal related committees

• Provide clearance for research reports (including pre-deal research reports) and maintain research disclosure database

• Perform approval and monitoring of employee trading (and post-trade surveillance), outside business interest/activity, gift and entertainment, etc

• Regulatory report matters, e.g. Disclosure of Interest (SFO Part XV), Hong Kong Takeover Code daily trade disclosure (Rule 22), and short-selling reporting

• Deal with enquiries from Head office, regulators and internal audit

• Compliance training, policies and procedures update

• Other ad-hoc tasks assigned by line manager from time to time

Job Requirements:

• Bachelor or above in Laws, Finance, Accounting or related disciplines

• At least 8 years' relevant experience

• Responsible, detailed-mind, well-organized with good communication skills

• Excellent command of spoken and written English and Chinese (Mandarin and Cantonese)