Job summary
部门
Compliance & Legal
职能
About Our Client
Top-tier Chinese securities.
Job Description
- 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；
- 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;
- Manage Information Barriers Surveillance program, including employee trading, Watch and Restricted List hits; ad hoc tasks on request.
Requirements and Qualifications
- 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; well organized and disciplined, able to meet tight deadlines;
- Good communications (oral & written), interpersonal, analytical and presentation skills；
- Analytical with an aptitude for technology.