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Associate, Control Room

Associate, Control Room

Pacific FocusHong Kong, Central and Western, Hong Kong
21 天前
职位描述

Job Description

Key Responsibilities :

  • 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.

Qualification :

  • 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 deadline
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    Associate • Hong Kong, Central and Western, Hong Kong