Description

Our client, a leading investment bank with an expanding business, is looking for a compliance officer with prior experience in research compliance and control room to join the team.

Responsibilities

• Review research prior to publication and manage interactions between Research and industry experts.
• Maintain and review information barrier setups and procedures, and handle wall-crossing requests.
• Keep track of the watch lists and restricted lists.
• Assist with monitoring e-communications related to Research and Investment Banking.
• Handle conflict clearance for transactions and address any breaches.
• Provide training to analysts, update research disclosures, and monitor compliance with guidelines.

Requirements

• Degree holder with at least 3 years of relevant experience in control room/ research compliance.
• Knowledge of investment banking and global markets products.
• Good command of written and spoken English and Chinese (including Putonghua).