Control Room Compliance Officer - Well-known Securities Control Room Compliance Officer - Well-known  …

HARBRIDGE PARTNERS
à Hong Kong, Hong Kong, Hong Kong
CDI, Plein-temps
Dernière candidature, 16 juin 19
Competitive
HARBRIDGE PARTNERS
à Hong Kong, Hong Kong, Hong Kong
CDI, Plein-temps
Dernière candidature, 16 juin 19
Competitive
Our client is a well-known integrated HKEX-listed financial services group which offers a comprehensive range of asset management and securities brokerage products and investment advisory services.

Responsibilities:

  • Work as Compliance Officer, the successful candidate will provide major compliance support to Control Room regarding Investment Banking, Research or Chinese Walls etc.
  • Clearance of research and daily reports from Compliance’s perspective.
  • Provide guidance and review pre-deal research. This involves liaising with Research, Global Capital Markets and/or internal/external legal counsel.
  • Conduct AML and conflicts checks for investment banking transactions.
  • Monitor employee trade data to determine compliance with the Firm's personal trading policies and departmental requirements.
  • Check and approve employee personal trading requests in accordance with the Firm's personal trading policies.
  • Develop, update and implement compliance policies and procedures, including departmental procedural manuals.
  • Deliver compliance training.
  • Assist in outside interests approvals and monitoring.
  • Making short-sell position reports to the SFC for the firm.
  • Assist in maintenance of conflicts registrar and other control lists.

 

Requirements:

  • Min 4 years of experience in Investment Banking, Compliance, Research Compliance or Control Room
  • Bachelor Degree holder of Law, Accounting, Finance or relevant disciplines
  • Knowledge in research and investment banking products
  • Great interpersonal skills and problem-solving abilities
  • Detail oriented, organised, very proactive and responsible. Team player. The ability to work in a pressurized environment with tight timelines required. Good presentation skills.
  • Proficient in Mandarin and English would be a great plus

 

Benefits:

  • Great Career Progression
  • Attractive employee benefit

 

For further discussion, please contact Chloe on 2523 9966

 

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