control room compliance, vp.

Our client is a well-established international investment bank. Seeking a highly experience control room professional.

Responsibilities

1. Responsible for the development and implementation of appropriate compliance process, systems and controls for the Control Room and investment banking / corporate financing function, including staff dealing policy and monitoring, maintenance of watch and restricted lists, IBD deal related compliance monitoring, etc;
2. Establish and maintain a regular compliance review program to identify compliance problems and cases of possible non-compliance with internal and external rules and regulations with a particular focus on the potential for market manipulation/ abuse, as well as issues such as insider trading, etc；
3. Maintain a monitoring program in employee securities transactions with a particular focus on violations of watch list/grey list requirements, as well as issues relating to insider trading；
4. Responsible for the process of reviewing and approving research reports；
5. Liaise with business and other units to evaluate and implement control processes.

Requirements

1. Degree holder in business, accounting, law or related disciplines;
2. Minimum of 10 years or above of compliance experience with particular focus on providing compliance & control room advisory and support to the front-line and operations；
3. Good advisory and communication skills and ability to work under minimum supervision.

Benefits:

• Competitive salary and performance-based bonuses
• Friendly and international working environment
• Professional development opportunities

Application Process:

Interested candidates are invited to apply or submit their resume to Jessie at jessie.ji@randstad.com.hk.