Compliance - Control Room
Level: Associate / Assistant Vice President
Client: European Investment Bank
Location: Hong Kong
Details of the Division and Team:
The Compliance Control Room is a global function within the organisation and is made up of regional teams (Asia: Hong Kong and Japan; EMEA: UK; Americas: JAX) to form a global network, providing a seamless 24-hour CR coverage to the Bank globally.
The Control Room's mandate includes (but not limited to):
Helping to maintain the integrity of the Bank’s Information Barriers;
Maintaining the Bank's Watch List and Restricted List to ensure compliance with applicable securities laws, regulations, and policies.
Review of the Bank’s Research against the Watch and Restricted Lists;
Wall Crossing;
Research Chaperone function.
What we will offer you:
A healthy, engaged and well-supported workforce are better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That’s why we are committed to providing an environment with your development and wellbeing at its center.
You can expect:
Competitive Salary and non-contributory pension
20 days annual leave plus generous number of public holidays
Life Assurance and Private Healthcare for you and your family
A range of flexible benefits including retail discounts, gym benefits, wellbeing incentives
The opportunity to support a wide ranging CSR program plus take volunteering leave days
Your key responsibilities:
Maintain and monitor Control Room Restricted and Watch Lists, ensure records are complete & accurate at all times.
Manage the Bank’s Information Barriers control, including executing wall-crossing requests and advise the business on information barrier and any other issues that may arise in reference to the flow of information. Maintain the Information Barrier Designations that are designed to reflect an employee’s access to Inside Information and are managed within the Information Barrier System.
Responsible for clearing day to day Equity and Fixed Income research to avoid conflicts against the various CR lists and identify perceived and real conflicts and work with internal/external counsel and/or management to resolve them
Provide compliance advice to the business relating to research and trading restrictions and review pre-deal research and provide guidance on analyst’s pre-deal investor education meeting.
Support the development of the Global Control Room enhancement or other ad-hoc projects, participate in the working group discussion and UAT. Handle and ensure the recording of breaches arising related to CR processes, and escalate as appropriate. Provide Restricted List and Information Barriers training to the relevant Business and Infrastructure divisions.
Your skills and experience:
University graduated with at least 3-4 years’ experience in the banking industry where Control Room / Equities / Corporate Finance / Compliance Testing / Monitoring & Surveillance experience is an advantage.
Good interpersonal, communication and presentation skills
Self-motivated, proactive, ambitious, proven ability to learn as well as Ability to prioritize, work under pressure and meet tight deadlines
Knowledge of banking and securities rules and regulations to the key jurisdictions with business operations in APAC
A strong sense of teamwork and be ready to take up challenging responsibilities and willingness to work flexible hours
How we’ll support you:
Flexible working to assist you balance your personal priorities
Coaching and support from experts in your team
A culture of continuous learning to aid progression
A range of flexible benefits that you can tailor to suit your needs
Training and development to help you excel in your career