AVP / VP, Control Room Compliance
JH Partners Asia Company Limited
Hong Kong, Hong Kong
6天前

Directly report to the Head of Compliance

Responsibilities :

  • Perform Control Room functions to handle research and conflict clearance and to maintain Control Room-related policies and procedures
  • Support IBD and Research compliance advisory work
  • Advise Research, Sales and Trading and other businesses of restrictions and corresponding permissible activities
  • Collaborate with Compliance team members to implement policies and procedures in relation to personal trading, conflicts of interest, and information barriers
  • Deliver Control Room Compliance trainings;
  • Supervise junior Control Room staff members
  • Ad hoc tasks on request.
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