Associate, Control Room Compliance, Investment Banking recruitment
The Company
This is a rare control room compliance opportunity with a global investment bank! The successful individual will assume an important role in protecting the bank's reputation and business activities through providing sound compliance advice to the investment banking and corporate advisory business units.
The Role
- Ensuring suitable Chinese walls and information barriers are in place;
- Identifying and avoiding conflicts of interest;
- Managing and implementing the staff trading policy;
- Managing the restricted trading lists;
- Assisting with local and global compliance policy development and implementation.
- Providing Compliance advisory to the business to avoid breaches of relevant internal and external regulations;
- Ensuring current knowledge of changes to the Corporations Law and industry trends are maintained;
- Liaising with regulatory bodies; and
- Assisting in ad-hoc projects as required
Your Profile
The successful candidate will be a degree holder in Law, Accounting, Finance or related discipline. You must have minimum 5 years of compliance experience with at lest 3 years' solid control room compliance within financial services industry. Other compliance, legal or audit experience within investment banks maybe considered. You should have a strong work ethic and be able to display strong communications and relationship management skills. Fluency in English and Cantonese a must, ability to speak other languages is a plus.
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.