Control Room Compliance, Investment Banking recruitment
The Company
This reputable investment banking group with significant operations globally requires a junior VP to join their existing compliance department in order to support their control room function.
The Role
- Monitoring Investment Banking activities;
- Clearing day to day Equity Research;
- Providing compliance advice to the Investment Banking business unit;
- Establishing and maintaining effective Chinese walls are in placed through the maintenance of the grey and restricted lists;
- Identifying and resolving conflicts of interest;
- Identifying control weaknesses, and implementing measures to address any weaknesses;
- Assisting with local and global compliance policy development and implementation; 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.