Compliance Officer - 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, maintaining and providing guidance on transactions, consistent with the firm’s policies and procedures, including information barriers and confidentiality, conflicts of interest, as well as research and gatekeeper policies. CLSA Control Room at the same time cover also research compliance function which provides business advisory and training to CLSA Research which has offices globally in 13 jurisdictions.
Key Areas of Responsibility
- Maintain firm’s Watch and Restricted Lists.
- Pre-clear transactions from a conflict clearance and conflict management perspective, and escalating as necessary.
- Advise and providing guidance to global research activities.
- Manage and advise IPO pre-deal process
- Manage Chinese Wall policy and procedures, including executing wall crossings where appropriate.
- Advise Personal Account Dealing requests when Watchlist/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.
- Control and advise communication 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
- Ensure control standards and monitoring are developed, maintained and completed in a timely manner.
- Provide relevant compliance control room input on global Chinese Wall and research related policies. .
- 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.
- Support Control Room and Research Compliance training as required
- 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 email@example.com. 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.