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Compliance Control Room AVP

Employer
Black Swan Group
Location
Hong Kong, Hong Kong
Salary
40k - 75k
Closing date
Oct 14, 2022

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Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Responsibilities
  • Liaising with senior bankers in relation to transactions, assimilating and analyzing relevant information to evaluate risks and requirements for preventative and detective controls
  • Reviewing and analyzing Equity and FICC institutional research for any potential legal, regulatory or reputational issues with applicable laws/regulations
  • Advising on information flows, information barriers and inside information considerations, acting as a check and challenge function. Reviewing wall crossings in consultation with business heads acting as Wall Crossing Approvers; keeping accurate and detailed records to ensure the integrity of firm's information barriers are appropriately monitored.
  • Applying firm wide restrictions in response to formal transaction announcements and advising on restricted activity in a time sensitive manner to manage conduct and reputational risk
  • Supporting the daily operation of the control room including but not limited to review of insiders lists, wall crossings, monitoring and surveillance, disclosure reviews, media requests
  • Providing advice to the business within BI on conflict issues as well as the appropriate management and/or resolution of conflict issues, including the implementation of conflicts management measures, such as deal team separation, transaction-specific Chinese Walls, disclosures, consents, and providing advice on confidentiality agreements and engagement letters from a conflicts perspective.

Qualifications
  • University graduate
  • Solid Compliance experience in financial services, with relevant Control Room experience
  • Proficiency in all Microsoft packages and aptitude with IT systems
  • Proficiency with VBA, Tableau, SQL, and/or Python
  • Excellent English communication skills and Chinese language skills both orally and in writing with ability to articulate problems, issues and proposals effectively and with an advanced command of concepts and procedures
  • Confidence to uphold Compliance positions under pressure

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