Manager/AVP, Control Room & IBD
AVP/Manager, Control Room/IBD
A new role has opened up with this leading global investment bank for a compliance professional to join this well respected control room team!
In the role you will provide high level support within the Control Room and IBD team inHong Kong. On a day to day basis you will liaise with senior and regional management on conflict check clearance, research clearance and provide support on trading and research restrictions.
In the role you will:
- Support and assist line management ensure all relevant external regulations, codes of conduct and internal codes and polices;
- Work on research clearance, conflicts check clearance and dealing restrictions; and
- Maintaining the Chinese Walls, facilitating Chinese Wall crossings requests
- Monitor and advise on communications between Investment Banking and Equity Research
- Provide IBD Compliance Advisory to front-office
- Liaise and work with regional and local business compliance in providing comprehensive Control Room Compliance support.
To be successful in the role you will have:
- Sound knowledge of the banking environment;
- Strong understanding of Chinese Walls;
- Between 2-5 years working experience in the compliance industry, ideally with experience working within control room or IBD advisory ; alternatively within investment banking
- Fluent in Cantonese, English and able to read and write Chinese
- Have "Can-do" attitude
- Excellent communication skills and problem-solving skills
For more information on the role please call Jenny Yeung at +852 29473 6333 or email jennyyeung@taylorroot.com.hk
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.
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