AVP Level Control Room Compliance Officer for Leading Global Investment Bank | Hong Kong
AVP Level Control Room Compliance Officer for Leading Global Investment Bank | Hong Kong
Salary – Excellent base + bonus benefits
Description
A leading global investment bank is looking to add an AVP level control room compliance specialist to their central compliance function. The role will be reporting directly into the Head of Control Room and will have regular liaising with the Head of Regional Compliance.
Responsibilities
- Continued maintenance of Chinese walls
- Monitor control room list (Restricted, Watch Conflicts)
- Responsible for clearing day to day Equity and Fixed Income research to avoid conflicts against the various CR lists
- Identify perceived and real conflicts and work with internal/external counsel and/or management to resolve them.
- Surveillance - Review surveillance for potential insider trading, front running and breaks of the Chinese Wall by the Firm and by employees
- Support Head of Control Room is ad-hoc tasks when necessary.
Key Requirements
- 3+ years experience within a Compliance function
- Direct Control Room experience (knowledge of equities a bonus)
- Experience dealing with Conflict of Interest and Chinese Walls
- Strong communication skills
- Knowledge of banking rules and regulations, and familiar with the global banking practices and regulatory environment.
- Project management experience is an advantage.
- Fluent English speaking
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