The bank for a changing world

Compliance Officer, Control Room


Standard / Permanent


HK-Hong Kong (HK)-Hong Kong

Job function




Position Purpose
  • 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


Key Responsibilities
  • 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

Competencies (Technical / Behavioral)
  • 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