Job Description
Associate, Control Room
Job Description:
- Handle daily Control Room tasks, including maintenance of watch list and restricted list, wall-crossing, and related post-trade surveillance
- Perform conflict clearance of private side transactions, client on-boarding of investment banking clients, sponsor independence check, participation in investment bank deal related committees
- Provide clearance for research reports (including pre-deal research reports)
- Compliance advice in investment banking, equity research, and Chinese Wall related areas
- Perform approval and monitoring of employee trading (and post-trade surveillance), outside business interest/activity, gift and entertainment, etc.
- Regulatory report matters, e.g. Disclosure of Interest, Hong Kong Takeover Code daily trade disclosure, and short-selling reporting
- Deal with enquiries from Head office, regulators and internal audit.
- Compliance training, policies and procedures update, and other ad-hoc tasks assigned by line manager from time to time
Requirements:
- Bachelor degree in Business, Finance, Accounting, Laws or related studies
- 3-5 years of working experience in similar or related roles in the financial services industry
- Strong knowledge of relevant rules and requirements of regulatory bodies
- Good communication and interpersonal skill
- Self-motivated and able to work independently
- Well versed in MS Office applications and Chinese word processing
- Proficient in spoken and written English and Chinese (Mandarin and Cantonese)
Click "Apply Now" to apply for this position or call Sophia Liang at +852 3180 4960 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.
