CLIENT BACKGROUND
Join a leading investment bank in Hong Kong, where we are committed to excellence in financial services. Our dynamic team is dedicated to ensuring compliance and operational integrity while supporting our clients' diverse needs.
JOB RESPONSIBILITY
- Monitor and manage communication within the control room to ensure compliance with regulatory requirements.
- Conduct conflicts of interest checks to identify potential issues related to trading activities and business dealings.
- Oversee and coordinate internal and external communications related to trading activities.
- Conduct risk assessments and ensure proper adherence to internal policies and regulations.
- Collaborate with compliance and legal teams to address potential issues and implement corrective actions.
- Provide timely updates to senior management regarding control room activities and any emerging risks.
- Develop and maintain accurate documentation of control room processes and procedures.
- Assist in training new staff on control room protocols and compliance measures.
JOB REQUIREMENTS
- Bachelor's degree in Finance, Business Administration, or a related field.
- 3-10 years of experience in a control room or general compliance role within an investment bank or financial institution.
- Strong knowledge of financial products, market regulations, and compliance frameworks.
- Excellent analytical skills and attention to detail.
- Ability to work effectively under pressure and manage multiple tasks.
- Exceptional communication and interpersonal skills, with fluency in both Cantonese and Mandarin preferred.
