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.
- 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.
- 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
- Great Career Progression
- Attractive employee benefit
For further discussion, please contact Chloe on 2523 9966