Compliance Officer, Control Room
Standard / Permanent
HK-Hong Kong (HK)-Hong Kong
- Assist Control Room members to handle the daily tasks and preparation of routine reports
Please note this position may require work on a rotational shift basis
- Assist with the maintenance of the Firm’s Restricted List, Watch List and Grey List
- Facilitating Chinese wall crossing requests and update the associated systems
- Assist with pre-deal research publication process and coordinate with Business, Compliance and External Counsel in regards to pre-deal research
- Assist the preparation of different periodic reports to business
- Assist in assessment and management of potential conflicts of interest
- Assist in compliance clearance on research products and ensure that all publications of research comply with firm policies and applicable legal provisions.
- Assisting in other compliance tasks as required to achieve team objectives
- Coordinating training with different departments
- Good communication and interpersonal skills with ability to build good working relationships with different business, management and other functions
- Ability to work through tasks systematically and monitor own work to ensure consistency and timeliness.
- Ability to learn and understand applicable regulatory rules and regulations and industry best practices.
- Ability and strong desire to work as part of an effective and collaborative team.
- Effective written communication skills for report writing and analysis.
- Responsible, thorough, professional and high regard for accuracy and quality
- Attention to detail, efficient and strong administration / organization skills
- Able to work under pressure
- Willing to work flexible hours
Specific Qualifications Required
- 2 – 5 years of relevant experience within compliance/ financial institutions/ professional firms an advantage; fresh university graduates will also be considered
- Bachelor’s degree or equivalent in Finance, Law or related subject