Our client is a sizable Investment Bank firm in Hong Kong. looking for candidate with 7 years + solid experience in compliance, IBD and control room dedicated compliance experience. Competitive package and excellent working environment will be provided. Candidates from Big 4 with Law Bachelor and wish to switch the field into Compliance will be be considered.
Directly report to the Head of Compliance
- Perform Control Room functions to handle research and conflict clearance and to maintain Control Room-related policies and procedures
- Support IBD and Research compliance advisory work
- Advise Research, Sales and Trading and other businesses of restrictions and corresponding permissible activities
- Collaborate with Compliance team members to implement policies and procedures in relation to personal trading, conflicts of interest, and information barriers
- Deliver Control Room Compliance trainings;
- Supervise junior Control Room staff members
- Ad hoc tasks on request.