Associate/AVP, Control Room, Legal and Compliance

The Role

Associate/AVP, Control Room, Legal and Compliance

Key Accountabilities

• Participate in the development, review and implementation of appropriate compliance process, systems and controls for the Control Room and providing relevant compliance training including the Chinese wall policy, market sounding guidelines and staff dealing policy;
• Maintain compliance requirements in relation to Chinese wall, including wall crossing procedures;
• Perform conflict of interest review, including investment banking projects and warrant issuance, etc;
• Maintain watch list and restricted list and issue relevant trading restrictions to business units and employees, and maintain staff dealing monitoring program with a particular focus on violations of restricted list/watch list requirements, as well as issues relating to insider trading;
• Maintain a regular compliance review program to identify possible non-compliance with internal and external rules and regulations, with a particular focus on potential leakage of inside information, market manipulation and insider trading, including email and telephone surveillance etc;
• Responsible for the process of reviewing and approving research reports;
• Participate in liaison with business units to evaluate and implement control processes, with a particular focus on investing banking/corporate finance;
• Other duties as shall from time to time be directed by superiors.

Skills & Experience

• Degree holder in business, accounting, law or related disciplines;
• 5 years or above of compliance experience with particular focus on providing compliance and control room advisory and support to the front-line and other business units;
• Candidates with over 2 years of full time working experience in Hong Kong or overseas is considered as an advantage.
• Good advisory and communication skills and ability to work under minimum supervision;
• Excellent command of both written and spoken English and Chinese, ability to communicate in fluent Mandarin preferred.

Other Information

• Please apply in strict confidence with full resume, academic record, current and expected salaries;
• The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months;
• Candidates with Enhanced Competency Framework (ECF): please state on the CV.

About BOCI

As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career for supporting our group.