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Compliance Associate - Control Room
Aptitude AsiaHong Kong16 days ago
Job descriptionBachelor’s degree holder with 3+ years of experience in Control Room roles Advanced Excel skills are required for handling large datasets. SQL skills would be a plus. Fluency in English is a must. Mandarin language skills are desirable but not required.
Responsibilities
- Manage wall-crossing events, including material non-public information (MNPI) and strategic transactions, ensuring accurate records of wall-crossed individuals and related information flow.
- Monitor global short sale restrictions to uphold firm-wide regulatorypliance.
- Develop surveillance triggers to detect potential MNPI breaches or restricted trading.
- Analyze large datasets from internal and external sources using tools like SQL and Python.
- Collaborate with front office, legal, and deal teams on transaction protocols and regulatory inquiries.
Requirements :
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Associate Compliance • Hong Kong