AVP/VP, Compliance Officer, Control Room
- Employer
- BOC International
- Location
- Hong Kong, Hong Kong
- Salary
- Not Specified
- Closing date
- Jun 29, 2023
View more
- Job Function
- Compliance/Regulatory
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
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The Role
AVP/VP, Compliance Officer, Control Room
Key Accountabilities
Skills & Experience
Other Information
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.
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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