Control Room and Research Compliance AVP
Salary HKD500,000 - HKD1,000,000 per annum
Location Hong KongFULL_TIME
Consultant Reshma Gope
Date posted 11 February 2019 2019-02-112019-04-12 financial-services hong kong HK HKD 500000 1000000 1000000 YEAR Robert Walters https://www.robertwalters.com.hk
Top Tier Foreign Investment Bank
Your responsibilities include-
• Review and manage the grey and restricted list, thereby imposing sales and trading restriction as required
• Manage wall crossing requests and advising the business on Chinese walls and flow of information
• Conduct monitoring to identify breaches of information barrier procedures, allocation policy and pre-sounding procedures
• Provide compliance advice to the business relating to research and trading restrictions.
• Provide training as required
• Assist to develop and update Control Room-related policies and procedures to meet new regulatory requirements
Key Skills and qualification-
• University graduated with minimum of 4 years of compliance - control experience in the banking industry.
• Excellent communication and interpersonal skills with ability to build good working relationships with stakeholders
• Knowledge of banking rules and regulations, and familiar with the global banking practices and regulatory environment.
• Strong analytical and judgment skills, attention to details and thoroughness of execution.