AVP, Control Room

4 days left

Recruiter
ICBC International Holdings Limited
Location
Hong Kong
Salary
Competitive
Posted
21 Aug 2017
Closes
26 Aug 2017
Sector
Legal
Contract Type
Permanent
Hours
Full-time

Responsibilities

 

  • Update the watch and restricted list
  • Review and approve research publications and daily commentary and review documents to be published on intranet and on public domain (e.g. wechat)
  • Provide guidance to junior staff on control room matters
  • Perform conflict check on private side projects
  • Process wall crossing request and keep proper documentation
  • Provide induction training to new joiner
  • Handle regulatory enquiryPerform ad-hoc projects if necessary
  • Provide guidance and timely responses to ad hoc queries from front office and internal audit

Requirements

  • Degree in business related discipline
  • Minimum 7 years of experience in compliance experience in financial services, preferably with control room and/ or private side compliance experience
  • Possess strong understanding of current regulatory environment and financial market
  • Possess strong understanding of information control and conflict of interest issues
  • Proficiency in written and spoken Mandarin, English and Cantonese
  • Excellent knowledge and interpretation of relevant rules and regulations of the SFC
  • Strong analytical skills
  • Good interpersonal and communication skills
  • Be able to problem solve independently and quickly
  • Strong attention to detail
  • Team player with a very collaborative working style