Control Room Specialist

Location: Hong Kong
Job Type: Permanent
Reference: 05_101018
Sector: Compliance

Due to expansion of the business, a large bank in Hong Kong is looking for a Compliance Specialist with around 3 years of control room compliance experience to be part of the growing team.

Responsibilities:

  • To be responsible for day to day efficient operation of the Control Room, including but not limited to develop, maintenance and update of control room operating process, procedural manual, wall-crossing, maintenance of Watchlist, etc
  • To handling the process for employee dealings, approving request, monitoring on employee dealing activities as required
  • To review and approve Wall-crossing requests from business units and maintain up to date insider lists
  • To work together with Legal and other Compliance teams on all control room matters
  • To keep abreast of existing and new regulatory requirements
  • To take ad-hoc compliance related projects

Requirements:

  • University graduate in Banking, Business Administration, Finance or related areas
  • Minimum of 3 years' working experience in the Control Room and related compliance matters
  • Good understanding of the current regulatory environment and financial markets and securities regulations and rules
  • A team player with good communication skills and risk awareness
  • Proficient analytical skills and report writing skills
  • Good command in both spoken and written English and Chinese, including Putonghua