As a key person to their Control Room Compliance Compliance Team, you will be reporting to the Head of Compliance. You will be managing the maintenance of watch-list and restricted list, renewing and continuing development of Chinese Wall policies and handling conflict analysis. You will be responsible for approval of complicated trades, and heavily involved in providing compliance advisory on M&A deals. You will also be the point of contact for Control Room compliance related projects.
The successful candidate will be a degree holder in Law or Accounting, with professional qualification is highly preferable, You will have at least 7 years of working experience, with 5+ compliance working experience in a governmental body or investment banking, with solid experience in control room control and research compliance, along with strong management skills. You will possess excellent presentation and communication skills (Fluent Cantonese and English is a MUST) and an ability to deal with all levels of an organisation.