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job details

summary

    job details

    about the company

    A top-tier foreign investment bank is looking for a Control Room AVP to join their team

    about the job

    • Provide advice to various business units and support units of the Bank relating to Control Room
    • Develop, implement or update Bank policies and procedures relating to Information Barriers
    • Maintain daily control room operation process
    • Review/maintain documents and research reports with the Watch List, Restricted List and Grey List
    • Review research publication to identify potential conflicts of interest
    • Facilitate “Chinese Wall” crossing requests and research and trading activities Conduct conflict check and independent check, as well as manage restrictions on sales communication
    • Perform annual assessment review in relation to sponsor transaction
    • To perform ad-hoc duties assigned

    skills & experiences required

    • University Degree in Law, Accounting, Finance or relevant disciplines
    • Minimum 6 years working experience. Strong knowledge of control room is a must, private side compliance would be an advantage
    • Well versed of relevant law and regulations as well as reporting procedure of regulatory bodies
    • Strong command in both written and spoken English

    To apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk

    about the company

    A top-tier foreign investment bank is looking for a Control Room AVP to join their team

    about the job

    • Provide advice to various business units and support units of the Bank relating to Control Room
    • Develop, implement or update Bank policies and procedures relating to Information Barriers
    • Maintain daily control room operation process
    • Review/maintain documents and research reports with the Watch List, Restricted List and Grey List
    • Review research publication to identify potential conflicts of interest
    • Facilitate “Chinese Wall” crossing requests and research and trading activities Conduct conflict check and independent check, as well as manage restrictions on sales communication
    • Perform annual assessment review in relation to sponsor transaction
    • To perform ad-hoc duties assigned

    skills & experiences required

    • University Degree in Law, Accounting, Finance or relevant disciplines
    • Minimum 6 years working experience. Strong knowledge of control room is a must, private side compliance would be an advantage
    • Well versed of relevant law and regulations as well as reporting procedure of regulatory bodies
    • Strong command in both written and spoken English

    To apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk