Compliance || Control Room Compliance || Control Room …

QHire Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 16 Jul 19
Competitive Package
QHire Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 16 Jul 19
Competitive Package
QHire, boutique executive search firm, with the mission of connecting professionals with “the right” opportunity to benefit both employers and employees from the advice of a reliable partner throughout business and career development.

Job Responsibilities:

Responsible for providing primary compliance coverage to Control Room and other general compliance support; 

Clearance of research and daily reports from Compliance’s perspective; 

Provide guidance and review pre-deal research. This involves liaising with Research, Global Capital Markets and/or internal/external legal counsel; 

Monitor employee trade data to determine compliance with the Firm's personal trading policies and departmental requirements; 

Check and approve employee personal trading requests in accordance with the Firm's personal trading policies; 

Develop, update and implement compliance policies and procedures, including departmental procedural manuals; 

Deliver compliance training; 

Assist in outside interests approvals and monitoring; 

Make short-sell position reports to the SFC for the firm; 

Assist in maintenance of conflicts registrar and other control lists; 

 

Job Requirements:

3 to 5 years of experience in IBD Compliance, Research Compliance or Control Room;

Knowledge in research and investment banking products; 

Proficient in Chinese and English. 

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