The Role
VP, Head of Control Room, Legal & Compliance Division
Key Accountabilities
- Responsible for the development and implementation of appropriate compliance process, systems and controls for the Control Room and investment banking / corporate financing (IBD) function, including staff dealing policy and monitoring, maintenance of watch and restricted lists, IBD deal related compliance monitoring, etc;
- Establish and maintain a regular compliance review program to identify compliance problems and cases of possible non-compliance with internal and external rules and regulations with a particular focus on the potential for market manipulation/ abuse, as well as issues such as insider trading, etcï¼›
- Maintain a monitoring program in employee securities transactions with a particular focus on violations of watch list/grey list requirements, as well as issues relating to insider tradingï¼›
- Maintain compliance with "Chinese wall" requirements and administer "Chinese wall" crossing proceduresï¼›
- Responsible for the process of reviewing and approving research reportsï¼›
- Liaise with business and other units to evaluate and implement control processesï¼›
- IBD related compliance monitoring, and IBD
- Such other duties as shall from time to time be directed by your superiors.
Skills & Experience
- Degree holder in business, accounting, law or related disciplines;
- Minimum of 10 years or above of compliance experience with particular focus on providing compliance & control room advisory and support to the front-line and operationsï¼›
- Good advisory and communication skills and ability to work under minimum supervisionï¼›
- Excellent command of both written and spoken English and Chinese, ability to communicate in Mandarin preferred
Other Information
Notes to applicants:
- 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 (“BOCIâ€), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career for supporting our group.
