- Hong Kong
- Permanent, Full time
- Hays Banking & Financial Services Hong Kong
- 16 Jan 19
- Hong Kong
- Full time
CONTROL ROOM- (AVP)- LEADING CHINESE BANK
One of the largest Chinese wholesale banks is seeking for Control Room expert at an AVP level.
Your new company
Your next company is a leading Chinese bank in the market and well-known for its attractive working culture and niche industry specialisations. Its office in Hong Kong offers a multinational working environment and prime location. Due to team expansion, their Compliance department has newly created a Control Room headcount at an AVP/Manager level to implement sufficient conflict management/ control room tasks for the bank.
Your new role
Your new role as an AVP, Control Room will be part of their Regulatory Compliance team and work closely with a fully developed compliance department with 40+ compliance officers at their Hong Kong office. You will report directly to the Team Head of Regulatory Compliance and mainly responsible for implementing sufficient conflict management and control room tasks.
Your primary duties will include:
- Maintain Watch and Restricted Lists
- Monitor trading of the Bank and employees against the Watch and Restricted Lists
- Review and approve wall crossing requests
- Review research publications (if any) to identify potential conflicts of interest
- Provide advice and training to various business units and support units of the Bank relating to Control Room matters and related compliance issues, including Information Barriers, operational and physical separation between public and private functions, applicable rules and regulations, and Bank policies and procedures
- Develop, implement and update Bank policies and procedures relating to Information Barriers
- Review cross-divisional conflicts & Control Room framework
- Pre-approve employee trading and reconciliation of employee trades according to the Bank's Policies and Procedures, and post-transaction monitoring of employee trading
- Review employee's outside business interests and external employment for conflict of interest issues
What you'll need to succeed
Your previous compliance working experience within employee compliance, control room/ private-side compliance will lead to your success and fit within the department. You will have at least 8+ years' experience in general audit or compliance experience preferably in a sizable financial institution or regulatory bodies. Sound knowledge in banking laws and corporate banking/ treasury products would be a plus. Strong command of verbal and written English and fluency in verbal Chinese is a must.
What you need to do now
If you're interested in this role, click 'apply now' or for further information and a confidential discussion on this role or to find out about more opportunities in Corporate Banking contact Charlene Yeung at Hays on +852 2230 7933 or email Charlene.email@example.com.