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
Support IBD and Research compliance advisory work
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;
Deliver Control Room Compliance trainings;
Manage Information Barriers Surveillance program, including employee trading, Watch and Restricted List hits.
Supervise junior Control Room staff members
Ad hoc tasks on request.
 

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.
Good leadership, communications (oral & written), interpersonal, analytical and presentation skills.
Analytical with an aptitude for technology
Well organized and disciplined, able to meet tight deadlines