VP, Advisory Compliance (IBD and Control Room)
Selby Jennings
Hong Kong, Hong Kong
1天前

Key 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
  • Coordinate with IBD and other private-side businesses regarding deal announcements, advise on questions regarding Watch and Restricted Lists
  • Maintain the Watch and Restricted Lists and implement restrictions pursuant to applicable laws, rules, regulations and codes
  • Qualification :

  • University degree in Business Administration, Finance, Risk Management, Law or other related discipline
  • 10 years solid experience in compliance, audit or related field in the financial services sector or with regulatory authorities
  • 7+ years IBD and control room dedicated compliance experience
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