APAC Control Room Compliance

Location: Hong Kong
Job Type: Permanent
Reference: 01_120618
Sector: Compliance

Our client, a leading global financial institution is looking for an experienced compliance specialist to be part of their control room function within the Hong Kong hub.

Job Descriptions:      

  • Control and monitor the flow of Price Sensitive Information ("PSI") within the bank via the use of internal information
  • Maintaining the Watch List and Restricted List to ensure compliance with applicable securities laws and regulations, ensure records are complete & up-to-date
  • Deal with wall-crossing requests, advise the business on the firm’s and individual’s information barrier status and any other issues that may arise
  • Review Equity and Fixed Income research to avoid conflicts against the various Control Room Lists
  • Work with business line compliance and legal counsel to provide comments on Global Capital Markets deal related research guidelines and review pre-deal research
  • Develop and update Control Room-related policies and procedures to address changes in regulatory and internal policy requirements across the region
  • Provide coaching to junior team members on daily work
  • Participate in and provide Control Room co-ordination for any internal audit reviews for various businesses and ad-hoc regulatory inspections in the region

Requirements:

  • Bachelor’s degree or above
  • At least 6 years’ relevant work experience in compliance, Control Room in the banking industry 
  • Control Room/ Equities/ Corporate Finance/ Research Compliance experience is an advantage
  • Knowledge of Banking Ordinance, SFO and the HKMA/SFC rules; familiar with regulatory environment for the management of conflicts of interests
  • Project management experience is preferred
  • Strong analytical skills and attention to detail