VP, Control Room Compliance VP, Control Room Compliance …

JH Partners Asia Company Limited
in Hong Kong
Permanent, Full time
Last application, 28 Jul 21
$70,000 to $90,000
JH Partners Asia Company Limited
in Hong Kong
Permanent, Full time
Last application, 28 Jul 21
$70,000 to $90,000
Posted by:
Ryan Tong • Recruiter
Posted by:
Ryan Tong
Recruiter
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.

Directlyreport to the Head of Compliance

Responsibilities:

  1. Perform Control Room functions to handle research and conflict clearance and to maintain Control Room-related policies and procedures
  2. Support IBD and Research compliance advisory work
  3. Advise Research, Sales and Trading and other businesses of restrictions and corresponding permissible activities
  4. Collaborate with Compliance team members to implement policies and procedures in relation to personal trading, conflicts of interest, and information barriers
  5. Deliver Control Room Compliance trainings;
  6. Supervise junior Control Room staff members
  7. Ad hoc tasks on request.
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