ASSO-AVP(J), Control Room, Legal and Compliance

The Role Control Room Key Accountabilities 1.负责制订、重检及落实执行《中国墙政策》《销售团队市场探盘活动指引》和《员工交易守则》，确保满足监管机构相关政策要求； Responsible for the formulation review and implementation of the "Chinese Wall Policy", "Market Sounding Guidelines" and "Employee Trading Code" to ensure that relevant policy requirements of regulatory agencies are met. 2. 负责利益冲突审查，包括对投行项目，认股权证发行及员工外部兼任职务等; Responsible for conflict of interest review, including investment banking projects, warrant issuance and external part-time jobs of emplo

BOC International - Hong Kong - Full time

Salary: NA

The Role

Control Room

Key Accountabilities



1.负责制订、重检及落实执行《中国墙政策》《销售团队市场探盘活动指引》和《员工交易守则》，确保满足监管机构相关政策要求；

Responsible for the formulation review and implementation of the "Chinese Wall Policy", "Market Sounding Guidelines" and "Employee Trading Code" to ensure that relevant policy requirements of regulatory agencies are met.

2. 负责利益冲突审查，包括对投行项目，认股权证发行及员工外部兼任职务等;

Responsible for conflict of interest review, including investment banking projects, warrant issuance and external part-time jobs of employees.

3. 负责为涉及敏感信息必理的业务部门，就项目执行流程、新产品或新业务申请，以及部门内部工作程序手冊提供合规意见；

Responsible for providing compliance opinions on projects execution processes, new product or new business applications, and internal departmental work procedures manuals for business departments involved in sensitive information processing.

4. 负责维护及更新观察名单和限制名单，并向同员工发布相关交易限制；

Responsible for maintaining and updating watch lists and restricted lists, and issuing relevant trading restrictions to employees.

5. 负责对研究报告、市场评论或媒体发布文章进行合规审查，提供特定免责声明和披露信息；Responsible for compliance review of research reports, market comments or

media releases, and providing specific disclaimers and disclosure information.

6.负责员工交易审查和监控 Responsible for employee transaction review and

monitoring.

7. 定期进行合规监控;

Responsible conduct compliance training.

8. 定期提供相关合规培训。

Provide relevant compliance training regularly.

Skills & Experience

1.拥有商业、会计、法律或相关学科学位；

Degree holder in business, accounting, law or related disciplinesï¼›

2.至少 5 年或以上的合规经验，尤其是与前线和其他部门提供合规和控制室咨询和支持；
Minimum of 5 years or above of compliance experience with particular focus on providing compliance & control room advisory and support to the front-line and
operationsï¼›

3.良好的咨询和沟通技巧以及在最低限度监督下工作的能力；
Good advisory and communication skills and ability to work under minimum
supervisionï¼›

4.优秀的中英文书面和口语沟通能力，能用普通话沟通者优先。
Excellent command of both written and spoken English and Chinese, ability to
communicate in Mandarin preferred.

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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