Control Room, AVP

A leading financial institution is seeking a control room professional to join their growing team.

• Perform Control Room functions to handle research and conflict clearance and to maintain Control Room-related policies and procedures
• Maintain the Watch and Restricted Lists and implement restrictions pursuant to applicable laws, rules, regulations and codes
• Support IBD and Research compliance advisory work
• Review research and pre-deal research prior to publication
• Advise Research, Sales and Trading and other businesses of restrictions and corresponding permissible activities
• Coordinate with IBD and other private-side businesses regarding deal announcements, advise on questions regarding Watch and Restricted Lists
• Collaborate with Compliance team members to implement policies and procedures in relation to personal trading, conflicts of interest, and information barriers
• Assist with responding to compliance-related audit examinations, regulatory requests, and internal investigations
• Deliver Control Room Compliance trainings
• Manage Information Barriers Surveillance program, including employee trading, Watch and Restricted List hits
• Supervise junior Control Room staff members

Requirements:

• University degree in Business Administration, Finance, Risk Management, Law or other related discipline
• 5+ years solid experience in control room dedicated compliance experience
• Experience in performing compliance or similar training, development of policies and procedures (and related guidelines), and the conduct of compliance review and investigations
• Sound working knowledge of relevant rules and regulations such as Hong Kong Takeovers Code, SFC Code of Conduct, Listing Rules, SFO, etc.
• Bilingual with proficiency in both Chinese and English languages. Good oral and written presentation skills.
• Hardworking, self-motivated, pragmatic with continued pursuit for personal growth
• Strong ethics, integrity and enthusiasm
• Good leadership, communications (oral & written), interpersonal, analytical and presentation skills.
• Analytical with an aptitude for technology
• Well organized and disciplined, able to meet tight deadlines