Associate/AVP, Control Room, Legal and Compliance

The Role

Associate/AVP, Control Room, Legal and Compliance

Key Accountabilities

• Responsible for the formulation review and implementation of the "Chinese Wall Policy", "Market Sounding Guidelines" and "Employee Trading Code" to ensure that relevant policy requirements of regulatory agencies are met;
• Responsible for conflict of interest review, including investment banking projects, warrant issuance and external part-time jobs of employees;
• Responsible for providing compliance opinions on projects execution processes, new product or new business applications, and internal departmental work procedures manuals for business departments involved in sensitive information processing;
• Responsible for maintaining and updating watch lists and restricted lists, and issuing relevant trading restrictions to employees;
• Responsible for compliance review of research reports, market comments or media releases, and providing specific disclaimers and disclosure information;
• Responsible for employee transaction review and monitoring;
• Responsible conduct compliance training;
• Provide relevant compliance training regularly.

Skills & Experience

• Degree holder in business, accounting, law or related disciplines;
• Minimum of 5 years or above of compliance experience with particular focus on providing compliance & control room advisory and support to the front-line and
  operations;
• Good advisory and communication skills and ability to work under minimum
  supervision;
• Excellent command of both written and spoken English and Chinese, ability to
  communicate in Mandarin preferred.

Other Information

• Please apply in strict confidence with full resume, academic record, current and expected salaries.
• The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months.
• Candidates with Enhanced Competency Framework (ECF): please state on the CV.

About BOCI

As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career in our group.