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AVP/VP, Compliance Officer, Control Room

Employer
BOC International
Location
Hong Kong, Hong Kong
Salary
Not Specified
Closing date
Jun 29, 2023

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Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
The Role

AVP/VP, Compliance Officer, Control Room

Key Accountabilities
  • Responsible for reviewing and clearing day to day Equity research, Fixed Income research, pre-deal research and any other marketing materials as required by business.
  • Maintain Restricted List and Watch List, and perform associated monitoring and surveillance.
  • Provide timely conflict clearance, help to identify perceived and real conflicts and escalate to seniors to resolve.
  • Deal with wall-crossing requests and coordinate all the necessary approvals.
  • Provide ongoing guidance to business on compliance and regulatory requirements in relation to Control Room matters.
  • Enforcement of key compliance policies including Chinese Wall, Market Sounding, Staff Dealing and conflicts management.
  • Any other duties as assigned by the Team Head from time to time.

Skills & Experience
  • Degree holder in law, finance, business administration or related disciplines.
  • 5-8 years solid experience working in Control Room or Investment Banking compliance function.
  • Familiar with the global banking and research practice.
  • Knowledge of Compliance laws, rules, regulations as well as the securities regulatory framework.
  • Attention to details, strive for process improvement; display the ability to evaluate materiality of issues/see the big picture.
  • Strong sense of accountability with good communication and interpersonal skills.
  • Able to handle multi-tasks and prioritize effectively.
  • Self-motivated and proactive individual with proven ability to take ownership of projects independently.
  • Proficient with both spoken and written English and Chinese (Mandarin) preferred.
  • MS Office applications (Excel, Word, PowerPoint)

Other Information
  • Please apply in strict confidence with full resume, academic record, current and expected salaries.
  • The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months.
  • Candidates with Enhanced Competency Framework (ECF): please state on the CV

About BOCI

As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited ("BOCI"), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career in our group.

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