The Asia Pacific Compliance Department is a service-oriented department which provides guidance and advice to all business and support staff at the Firm, including sales, trading, research, investment banking, financial, administration and operational staff.
The Control Group in the Compliance Department is responsible for various aspects of the maintenance of the Firm's Information Barriers (Chinese Walls), including the Firm's Watch and Restricted Lists, review of research reports, preclearance of certain transactions, and trade surveillance as well as general advice and issue escalation in connection with a wide range of issues.
Principal Duties:
Maintenance of Information Barriers
o ensure compliance with procedures designed to prevent conflicts of interest between the Investment Banking and Sales, Trading, and Research activities conducted by the Firm. Closely monitor status of the Firm's investment banking projects and maintain Watch List and Restricted List (and related administration)
Advice and Interpretation
o provide advice and interpretation of the organisations information barrier policies and regulatory requirements, particularly to IBD, Capital Markets and Research and coordinate with internal lawyers and other compliance teams as required
Review of Research
o review of both equity and fixed income research for conflicts with the Watch and Restricted List as well as compliance with applicable regulatory requirements and internal policies. Review of pre-deal research associated with pre-marketing of IPOs
Other
o pre-clearance of trade requests, outside business activity and private security transactions
o participate in audits, Annual Compliance Review, ad-hoc look back surveillance as required
update existing procedures and develop new policies on an ongoing basis
o participate in training to business units
Skills/Experience Required:
University graduate or equivalent degree preferred (in business, accounting or law ideally)
minimum three to five years' relevant experience in the financial services industry in Compliance or Internal Audit or with a securities exchange or securities regulator
good knowledge of Research or Investment Banking operations plus working knowledge of equity and fixed income products
strong analytical and numerical skills
ability to remain focused under pressure
ability to perform multiple tasks simultaneously
able to work both as a team player as well as independently
comfort interfacing with firm personnel at all levels on range of issues, including sensitive and conflict matters
If you would like to apply for this role or find out more, please apply online or contact Christina Ng at Robert Walters on +852 2103 5320 or christina.ng@robertwalters.com.hk quoting the Job Reference CNL/310990.