Associate/ Senior Associate, Compliance (Control Room)

Job Title: Associate/ Senior Associate, Compliance (Control Room)
Contract Type: Permanent
Location: Hong Kong
Salary: Negotiable
Reference: 45344_1610016081
Contact Name: Jessie Chan
Contact Email:
Job Published: January 07, 2021 18:41

Job Description

About The Client

My client is a leading investment bank which provides a wide range of financial services including securities brokerage, corporate finance and asset management to domestic and international clients. They are seeking for a committed and high calibre candidate with 3 years of experience to join their Control Room team.

About The Role

  • To ensure that any conflicts of interest arising from private side activities are dealt with timely in accordance with the Conflicts of Interest Policy and are reported, as appropriate, to relevant compliance advisor and/or business manager
  • To maintain the Watch, Restricted and Insider Lists and associated processes
  • To maintain Information Barrier and Wall Crossing procedures and ensure that Wall Crossing requests are actively and promptly managed according to the internal Wall Crossing policy
  • To perform regular compliance review, research clearance, policies and procedures review
  • Provide training to internal staff on updated compliance rules and regulations


  • Bachelor degree in Law, Accounting, Business or a related discipline
  • Minimum 3 years of relevant compliance experience with financial institutions and/or regulatory bodies
  • Experienced in asset management business or control room functions, and sound understanding of current trends in asset management operations
  • Excellent communication skills in both spoken and written English and Chinese with fluency in Mandarin
  • Ability to manage multiple projects and work effectively in a highly confidential and fast-paced environment

Click "Apply Now" to apply for this position or call Jessie Chan at +852 3180 4945 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.