AVP/VP – Control Room Compliance recruitment
Responsibilities:As a VP in Control Room, you will be part of a team of 5, reporting directly to the Head of Compliance. Some of your core duties include:Identify and escalate potential Conflicts of Interests to management for action.Maintain Watch and Restricted List and clear daily research reportsWork closely with businesses to provide comments on Global Capital Markets related research guidelines coordinate review of pre-deal process.Managing the flow of material, and managing wall crossingsPerform trade reviews for abnormalities and breaches and clear staff dealing requestProvide compliance Read more […]
February 26, 2012
• Tags: AVP, Control Room Compliance recruitment, Investment Banking, M & A careers in the Hong Kong SAR, VP • Posted in: Financial • Comments Off on AVP/VP – Control Room Compliance recruitment