Control Room Compliance, Financial Services ($40-60K) recruitment
The Company
With continued expansion and market growth, this well reputed Global Financial Services firm is seeking to appoint a junior to mid level compliance canddiate to support the compliance and control room function.
The Role
- Monitoring staff trading activities;
- Performing investment research, investment banking products and conflicts of interest clearance;
- Updating and maintaining Chinese walls across the firm through the maintenance of the grey and restricted lists;
- Providing compliance approval for staff dealing;
- Reviewing and implement enhanced compliance control policies and procedures;
- Ensuring compliance with regulations relating to research, including securities regulations and research independence regulations; 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 3 years' post compliance working experience gained from control room compliance in 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.