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Job ref no.: CT3114388-01#4266

AVP/VP- Control Room

Robert Walters

Responsibilities

  • Daily operation of the control room function including but not limited to review of insider lists, wall crossings, monitoring and surveillance, disclosures reviews, media requests
  • Reviewing research publications, active involvement in research clearance shifts (including early morning shifts) to support the Asia and US regions
  • Perform conflicts check and review and manage potential conflicts of interest that may arise
  • Provide guidance and timely responses to ad hoc queries from the front office including those related to trading and the restricted list, banking requests for chaperoning, and data requests from research
  • Provide support and cover to other areas within Private Side Compliance for the region as needed

Key skills:

  • College or university graduate with 8+ years of Compliance experience in financial services, preferably with Control Room and/or Private Side Compliance experience
  • Strong understanding of information control and conflicts of interest issues, as well as surveillance and monitoring experience
  • Excellent English communication skills both orally and in writing with ability to articulate problems, issues, and proposals effectively and with an advanced command of concepts and procedures
  • Ability to interact with senior front office personnel and confidence to uphold Compliance positions under pressure

Get in touch

Reshma Gope

+852 21619414

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More job information
Job ref no. CT3114388-01#4266
Salary
  • N/A
Job Function
Industry
Employment Term
  • Full-time
Experience
  • 8 years - 13 years
Career Level
  • Middle management level
Education
  • Asso. Deg or High Dip
  • Degree