Associate - Compliance, Research/ Control Room

China Merchants Securities International Co., Ltd
Hong Kong
07 Aug 2017
14 Aug 2017
Contract Type

The person holding this position is responsible for providing primary compliance coverage to the Research business as well as other Control Room duties including managing of the firm's conflicts relating to different businesses. This includes interpreting and assisting the businesses in enforcing applicable rules and regulations with an emphasis on those relating to Chinese Walls and Research. In addition, this person will be required to take on certain duties in relation to personal account trading, outside interests monitoring and short-sell position reporting etc.


Job Responsibilities:

  • Clearance of research and daily reports from Compliance's perspective;
  • Provide guidance and review pre-deal research. This involves liaising with Research, Global Capital Markets and/or internal/external legal counsel;
  • Assist with implementation and communication on new and changing regulations and provide training on current and new rules and regulations;
  • Provide real-time expertise and guidance on rules and regulations to businesses with an emphasis on Research;
  • Develop, update and implement compliance policies and procedures, including departmental procedural manuals;
  • Provide compliance training to Research staff;
  • Monitoring of communications between public and private functions;
  • Manage any regulatory examinations of the area of responsibility and coordinate response, when necessary;
  • Assist in personal account trading and outside interests approvals and monitoring;
  • Making short-sell position reports to the SFC for the firm;
  • Assist in maintenance of conflicts registrar and other control lists.

Job Requirements:

  • Bachelor Degree holder of Law, Accounting, Finance or relevant disciplines;
  •  3 to 5 years of experience in Research Compliance or Control Room;
  •  Knowledge in research and investment banking products;
  • Excellent interpersonal skills and ability to interact with people from different areas at all levels of seniority;
  • Ability to recommend solutions as appropriate;
  • Provide after office hours support as required;
  • Detail oriented, organised, proactive and responsible;
  • Good team player and has the ability to work in a pressurised environment with tight timelines;
  • Excellent command of spoken and written English, Chinese and Mandarin.

We offer attractive remuneration and benefits including 5-day working week to the right candidates. Interested parties, please send your full resume including your CURRENT and EXPECTED salary to Head of Human Resources Division, China Merchants Securities (HK) Co., Ltd., 48/F, One Exchange Square, Central, Hong Kong or by email.

Personal data provided will be used by us for recruitment and related purposes, which is strictly in accordance with the Personal Data (Privacy) Ordinance (Cap. 486 of the Laws of Hong Kong) for Applicants for Employment. Applicants who are not contacted within 6 weeks may consider your applications unsuccessful and the personal data collected will be destroyed after 2 years or such other period as prescribed by the applicable laws.