Senior Manager - Control room
- Hong Kong
- Permanent, Full time
- Eames Consulting Hong Kong
- 21 Sep 16
Providing support to the head of Compliance Control Room for the APAC region, my client is seeking an experienced compliance professional to join their Hong Kong based team. The role requires regular interaction with key, senior stake holders within Compliance organization, Business aligned Legal as well as the business units Control Room supports.
Providing support to the head of Compliance Control Room for the APAC region, my client is seeking an experienced compliance professional to join their Hong Kong based team. With regional coverage role will manage the firm’s information barriers, conflict of interest, employee personal trading as well as Research and Equity Capital Market compliance advisory function.
The role requires regular interaction with key, senior stake holders within Compliance organization, Business aligned Legal as well as the business units Control Room supports.
- Ensuring the integrity of the firm’s information barriers and monitoring transactional and non-transactional MNPI
- Managing information barrier mappings and wall crossings
- Implementation, communication and maintenance of restrictions on sales communication, research and trading
- Advising on research related policies and procedures
- Review of research materials, including ordinary course and pre-deal reports, for compliance with applicable regulations, deal specific guidelines and internal policies
- Advising on capital market transaction related policies and procedures
- Managing the conflicts clearance and escalation process
- Advising on employee personal trading, outside business interests, directorships and related personal conduct policies and procedures
- Lead the annual Compliance Risk Assessment for Research
- Manage the annual EPT/EFM certification process
Skills and experience required:
- Have solid understanding of key rules and regulations around conflict of interest, investment banking advisory, capital raise and research across Asian jurisdictions
- Have strong analytical skills, familiarity with the business and products Control Room supports, an ability to see “the big picture” and apply strategic thinking
- Have the ability to take a pragmatic, commercial approach to compliance whilst sufficiently addressing and mitigating potential risks
- Have strong organization, communication, negotiation and interpersonal skills to be an effective advisor and team player
- Demonstrate an ability to work independently, multi-task and determine priorities in time sensitive environment
- Team and project management skills are a plus
For a confidential discussion in relation to this opportunity and other compliance openings please email firstname.lastname@example.org.
Data provided is for recruitment purposes only. Only short listed candidates will be notified.