Responsible for the development and implementation of appropriate compliance process, systems and controls for the Control Room function, including staff dealing policy and monitoring, maintenance of watch and restricted lists.
Leading Investment bank with primary focus on PRC market
Team leadership role
Excellent career development opportunity
Responsibilities:
Monitor and manage the flow of material non-public information through the various divisions of the firm;
Work closely with internal and external legal counsels on takeover code transactions;
Conduct look back and daily reporting to regulators on takeover code transactions;
Restrict trading and research in accordance to applicable laws and regulations;
Advise equity and fixed income trading & sales on applicable regulations and policies;
Conduct various surveillance on both the firm and employee trading;
Identify and manage conflicts that may arise to protect the bank against legal and reputation risks;
Maintain the watch and restricted list;
Review and approve employees’ personal account dealing;
Advising IBD and research with regards to applicable regulations and policies;
Review and approve research for both internal and external distribution;
Provide training to the businesses on the relevant compliance policies and procedures;
Chaperone and gate keep communications between IBD and research where required.
Requirements:
Degree holder in business, accounting, law or related disciplines;
Minimum 5-6 years of compliance experience with particular focus on control room/investment banking activities in international investment banks or regulatory bodies;
Good advisory and communication skills;
Excellent command of both written and spoken English and Chinese, ability to communicate in Mandarin preferred.
Interested candidates, please send your CV to denise.lim@talent2.com quoting reference number BO-DL-26079.
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