Control Room Compliance
Location Hong KongCONTRACTOR
Consultant Carmen Chin
Date posted 13 September 2022hong-kong banking-financial-services/compliance 2022-09-13 2022-10-13 banking Hong Kong HK Robert Walters https://www.robertwalters.com.hk https://www.robertwalters.com.hk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
Role Overview: The control room compliance specialist will assist the team on maintenance of restricted list and watch list, barrier crossing requests, pre-deal research publication process, manage potential conflict of interests, and other control room tasks. This is a 9-month contract with vision to extend and convert into a permanent staff as this is a replacement hire.
- assist with barrier crossing requests
- maintain bank's restricted list, watch list and grey list
- support in pre-deal research publication
- prepare regular compliance reports to business
- review and manage potential conflict of interests
- approve compliance clearance on research products and ensure publications comply with firm policies and any legal provisions
- work with training team
- ad hoc compliance tasks
- bachelor degree in related discipline
- 1 - 4 years of experience in control room or related functions in financial services industry
- fluency in English and Chinese
- attention to detail
- ability to multitask
- team player
This is a global leading bank.
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