Job ref no.: CT3114388-01#6187

Conflicts Compliance AVP/VP - Top Tier Investment Bank

Robert Walters

Salary Negotiable

Location Hong Kong

Consultant Reshma Gope

A top tier investment bank in Hong Kong is recruiting for a VP/AVP Conflicts expert in the regional compliance team. The incumbent will report into the Head of Banking Compliance in Hong Kong and get exposure into private side compliance advisory.

Your major responsibilities would include:

  • Performing conflicts check andmanage potential conflicts of interest that may arise
  • Liaising with front office and global heads on conflict matters
  • Further providing 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
  • Leading conflicts management for the APAC region
  • Reviewing research publications, active involvement in research clearance shifts (including early morning shifts) to support the Asia and US regions
  • Providing support and advisory on private side compliance when and as required

Key skills:

  • Graduate with minimum of 6 years’ experience in conflicts management in a law firm or bank. Banking experience is not necessary needed if you are a conflict professional in a law firm
  • An inquisitive mindset to understand the root cause of different situations and highly confident to deal with the global heads/MD level colleagues
  • Strong understanding of information control and conflicts of interest issues
  • 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#6187
  • N/A
Job Function
  • 6 years - 11 years
Career Level
  • Middle management level
  • Degree