Our client, a global investment bank, is looking for a Senior Manager to join their Control Room function to act as a deputy to the head of Control Room.
In this role you will be reporting to the head of Control Room for the APAC region. The function of this position is to support the investment banking activities and managing the private side activities of the other business groups.
Other daily activities of the role will include:
- Ensuring the integrity of the firms Chinese Walls and information barriers;
- Providing advice on all compliance and regulatory matters to the corporate advisory teams in London, South Africa and Germany;
- Managing the conflicts clearance and escalation process
- Developing procedures and systems as required to enhance conflict management and insider dealing controls
- Review of outside business interests from a conflicts perspective, including external directorships
- Implementation, communication and maintenance of restrictions on trading and advice
- Overseeing the policy and procedures for managing conflicts between research analysts and corporate broking personnel and investment banking activities
- Facilitating Chinese wall crossings from initial request to the resumption of normal duties and maintenance and administration of associated systems
- Produce and deliver training on key policies and procedures
- Assisting in administration of other bank-wide policies including privacy, substantial shareholding and anti-money laundering
- Supporting position reporting
- Addressing staff dealing enquiries including obtaining exemptions for employees
- Contribution to the wider work of the Compliance team in regional and global projects
- Significant experience within financial services compliance with exposure to Control Room/Research
- Working knowledge of Capital Markets and Financial Services laws and regulations
- Experience advising senior management
If you are interested in applying for this role please send your CV to firstname.lastname@example.org or call Pathay on +852 2521 4078.