VP/D IBD control room compliance

My client is looking for IBD control room compliance up to VP/D

Job Responsibilities:

· Handle daily Control Room tasks, including maintenance of watch list and restricted list, wall-crossing, and related post-trade surveillance

· Compliance advice in Chinese Wall related areas

· 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) and maintain research disclosure database

· 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 (SFO Part XV), Hong Kong Takeover Code daily trade disclosure (Rule 22), and short-selling reporting

· Deal with enquiries from Head office, regulators and internal audit

· Compliance training, policies and procedures update

· Other ad-hoc tasks assigned by line manager from time to time

Job Requirements:

· Bachelor or above in Laws, Finance, Accounting or related disciplines

· At least 8 years’ relevant experience

· Responsible, detailed-mind, well-organized with good communication skills

· Excellent command of spoken and written English and Chinese (Mandarin and Cantonese)