Control Room Compliance Officer recruitment
Job Description:
The job responsibilities associated with this role are expected to include, but are not limited to, the following:
• Focus on the Control Room Operations processes
• Help strengthen the administration of the Firm’s Chinese Walls
• Monitor Chinese Wall issues pertaining to the businesses
• Provide compliance advisory services to business and functional units
• Conduct compliance reviews, and performs ongoing monitoring of procedures, ensuring that regulations and company policies are adhered to
• Monitor business activities and put in place specific measurements as necessary
• Construct, review and revise internal policies and procedures
• Prepare and implement training programs for staff
• Develop and conduct training sessions internally on compliance related issues
• Work closely with Compliance Control Room colleagues in Beijing to ensure the proper functioning of the Firm’s Chinese Walls as a whole
Experience
• Minimum 6 years of control room experience in an investment bank or securities firm
• Experience in relation to securities / brokerage / wealth management / asset management preferred
• Familiar with relevant rules and regulations, code of conducts, etc. applicable to Hong Kong licensed corporation
Skills and Abilities
• A self-starter with keen initiative and excellent interpersonal skills
• Able to work with a minimum level of supervision and a good team player
• Strong analytical and evaluative skills, attentive to details
• Good communication skills in Cantonese and English, fluent in Putonghua preferred
• Familiar with Hong Kong regulatory issues and development will be an added advantage
Qualifications
• University degree in Legal, Accounting, Finance or related disciplines
• Legal training is preferable but not a must