eFinancialCareers

• Company

  Talent2 (HK)

• Location

  China-Hong Kong

• Compensation

  Attractive Remuneration

• Position Type

  Permanent

• Employment type

  Full time

• Updated

  20 Nov 2009

• eFC Ref no

  587783

• Leading Investment bank with primary focus on PRC market 
• Team leadership role
• Excellent career development opportunity 

Responsibilities:

• Monitor and manage the flow of material non-public information through the various divisions of the firm;
• Work closely with internal and external legal counsels on takeover code transactions;
• Conduct look back and daily reporting to regulators on takeover code transactions;
• Restrict trading and research in accordance to applicable laws and regulations;
• Advise equity and fixed income trading & sales on applicable regulations and policies;
• Conduct various surveillance on both the firm and employee trading;
• Identify and manage conflicts that may arise to protect the bank against legal and reputation risks;
• Maintain the watch and restricted list;
• Review and approve employees’ personal account dealing;
• Advising IBD and research with regards to applicable regulations and policies;
• Review and approve research for both internal and external distribution;
• Provide training to the businesses on the relevant compliance policies and procedures;
• Chaperone and gate keep communications between IBD and research where required.

Requirements:

• Degree holder in business, accounting, law or related disciplines;
• Minimum 5-6 years of compliance experience with particular focus on control room/investment banking activities in international investment banks or regulatory bodies;
• Good advisory and communication skills;
• Excellent command of both written and spoken English and Chinese, ability to communicate in Mandarin preferred.

Interested candidates, please send your CV to denise.lim@talent2.com quoting reference number BO-DL-26079.