COMPLIANCE OFFICER recruitment
Responsibilities:
• act as key control room/compliance liaison between private and public side businesses in regards to conflicts clearance and management of information walls
• provide strategic direction for regional conflicts management platform by identifying and guiding enhancements to it
• guide and enhance the business-critical research clearance function
• lead and develop control room-related policies and procedures and other initiatives
• advise research on pre-deal report related matters. Direct review of pre-deal reports and research guidelines within control room team
• respond and advise research analysts on compliance matters and enquiries
• supervise handling of vetting requests
• advise on launch of new research products for content and distribution issues
• provide support on other ad hoc projects
• play key role in development of research compliance policies and procedures
• training as required
• lead compliance support of transactions originated by the AEJ Investment Banking department
• play key role in development of investment banking compliance policies and procedures
• perform conflict check and co-ordinate response to identified conflicts
• advise IBD on KYC issues
• approve entertainment expenses of IBD staff
• training as required
Requirements:
• five to seven years’ control room experience or equivalent
• undergraduate degree or higher
• outstanding English language skills
• presentation / public-speaking skills
• project management skills
If you would like to apply for this role or find out more, please apply online or contact Gina Hui at Robert Walters on (852) 2103 5371 or gina.hui@robertwalters.com.hk quoting the Job Reference GHH/408600.