Compliance Analyst - Control Room
The role involves supporting the day to day workflow of the Control Room. All business lines communicate directly with the Global Control Room and provide timely updates on transactions. Control Room will participate in reviewing research, maintaining Watchlist and Restricted List, providing guidance on transactions, consistent with the firm’s policies and procedures, especially Chinese Wall and confidentiality, conflicts of interest, as well as research and gatekeeper policies.
Key Areas of Responsibilities
- Maintain firm’s Watch and Restricted Lists.
- Pre-clear transactions from a conflict clearance and conflict management perspective, and escalating as necessary.
- Manage Chinese Wall policy and procedures, including executing wall crossings where appropriate.
- Pre-clear Personal Account Dealing requests when Watchlist and Restricted List concern.
- Maintain and update transaction flows and timetables in deal management system
- Review of Equity Research Reports and any research publications against reputational and regulatory issues.
- Advise pre-deal research process and support related review/training/compliance procedures
- Control of the flow of information between Research and Investment Banking departments to minimize the risk of unauthorized dissemination of material non-public information and to protect the independence of Research analysts.
- Maintain and update research disclosures
- Advise and support Global Research department
- Ensure monitoring and control standards and monitoring are developed, maintained and completed in a timely manner.
- Provide relevant compliance Control Room input on policies owned by other groups, departments and businesses.
- Support information barrier surveillance functions including daily review, alerts and breach investigation
- Work closely with the Control Room in Beijing and Compliance Officers on the ground in all jurisdictions, including supporting regional offices on Control Room related matters.
- Provide Control Room training to Investment Banking and Research Compliance training to Global Research on regular basis.
- Degree holder
- Have a good understanding of financial markets, product business areas, particularly Research.
- Relevant Control Room or Research Compliance experience preferred (2-3 years)
- Strong analytical background, detail-oriented and project management skills.
- Able to identify and escalate operational and regulatory risk.
- Be able to utilize their intellect and exercise good judgment in making rational decisions while under pressure.
- Be able to communicate clearly and effectively in a professional, diplomatic manner.
- Have the ability to build and to develop strong long-term relationships with colleagues, all levels of internal clients, including investment banking, research, and other stakeholders
- Excellent English and fluent Mandarin are required.
If you are seeking a dynamic environment in which to build your career in CLSA, please send your resume to firstname.lastname@example.org. Kindly specify the position title in the email subject for job application.
CLSA may collect personal data from you for purposes relating to your engagement with the Company, including human resource management and other business and internal / external compliance purposes. Any personal information and /or data collected and held by the Company may be used by the Company or transferred (whether within/ outside Hong Kong) to any other parties within the Company, subsidiaries and affiliates of the Company, internal or external service providers, or any other relevant parties including governmental or regulatory authorities, for the above purposes.