Control Room Compliance – Investment Bank recruitment
Specific responsibilities in the role would include:
- Manage and maintain the Chinese Walls and the Watch Restricted Lists including placement of required trading restrictions
- Provide compliance advice and guidance on Control Room related matters including application of insider trading regulations
- Conduct and manage conflict checks
- Assist in conducting research report clearance
- Assist in continued development of the Control room including policy and technology developments. This includes updating, developing and implementing compliance policies and procedures to ensure that the Firm is in a position to effectively respond to the ever changing regulatory and market environment
- Provide related ongoing training with regard to new or updated policies and procedures to ensure full compliance with internal and external regulations
Required Experience and Qualifications:
- Minimum of 6 years professional experience including 3 years compliance related experience in the financial industry/business
- Familiarity with equity products and transactions, and underwriting and MA business
- Confidence to deliver compliance messages and decisions to senior managers?
- Excellent analytical skills
- Pro-active, self-motivated
- Strong communication and presentation skills
If you have an interest in this position, please contact Gerard Finlay either by telephone on +852 3975 2965 or email at gerard.finlay@legalfutures.com quoting the reference number.
The description above is one of many roles that we are currently recruiting for. For further details of additional roles, please visit our website at http://www.legalfutures.com
All applications will be treated with strict confidence and used for recruitment purposes only.
January 10, 2012
• Tags: Compliance, Control Room Compliance – Investment Bank recruitment, Legal careers in the Hong Kong SAR • Posted in: Financial