Assistant Compliance Manager, Compliance

1 week ago

hong kong, Hong Kong SAR China CLSA Full time

Overview Join to apply for the Assistant Compliance Manager, Compliance role at CLSA The role involves supporting the day to day workflow of the Control Room. All business lines communicate directly with the Global Control Room to 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 covers also research compliance function which provides business advisory and training to CLSA Research which has offices globally in 13 jurisdictions. 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. Advise and provide 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 is of 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 in all jurisdictions and for all products/specialization, including supporting regional offices on control room related matters. Provide Control Room and Research Compliance training as required. Requirements Degree holder. Have a good understanding of financial markets, product business areas, particularly Research. Relevant Control Room and/or Research Compliance experience (3-5 years). Strong analytical skill, 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. Able to build and to develop strong long-term relationships with colleagues, all levels of internal clients, including investment banking, research, and other stakeholders. A good command of English and Chinese is required (both in writing and spoken; for Chinese it would be both Cantonese and Putonghua, and both traditional and simplified Chinese). Seniority level Associate Employment type Full-time Job function Finance #J-18808-Ljbffr

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