Control Room and Research Compliance Specialist

We are working on multiple control room and research compliance mandates with global investment banks and leading financial institutions to be based in Hong Kong.

Ashford Benjamin Ltd - Hong Kong - Full time

Salary: Competitive

Responsibilities:

  • Responsible APAC Control Room and Research Compliance function
  • Providing compliance clearance on Investment Research against the Watch and Restricted Lists and maintain transactional/role disclosures
  • Develop compliance framework, policies, procedure, and training program for Corporate and Investment Banking business
  • Provide compliance advisory to research, regulatory reporting, and business matters
  • Approve and maintain restricted, watch, and conflict list, wall crossing, information barriers issue
  • Participate in regulator enquiry, inspection, and management meetings to enhance control framework


Requirements:

  • Not less than 5 years of experience covering control room and research compliance
  • APAC exposure with direct experience working with global management

 

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22197562

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