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Associate, Control Room

Job Title: Associate, Control Room
Contract Type: Permanent
Location: Hong Kong
Industry: Financial Services
Reference: 52974_1676876535
Contact Name: Sophia Liang
Contact Email:

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


  • 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.

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