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Analyst/ Associate, Asia Control Room, Compliance, Hong Kong

Req #: 180014815
Location: Hong Kong, , HK
Job Category: Compliance
Job Description:
The Asia Control Room ["ACR"] is a regional function of the Firm with staff members located in Hong Kong, Sydney, Tokyo and Mumbai.  The ACR monitors the Firm’s Information Barriers, which are designed to control the flow of material non-public information (MNPI), in the Asia Pacific region.
  • Performing day-to-day control room tasks, including but not limited to:
    • Maintenance of the Firm’s Watch and Restricted lists
    • Handling wall-crossing requests
    • Clearance of normal course and pre-deal research
    • Chaperoning relevant Investment Banking/Equity Research communications
    • Imposing dealing restrictions and responding to trade requests
    • Designation of private/public side employee statuses
  • Advising Research/Investment Banking/Capital Markets on research independence issues
  • Working with Legal and external counsels on transactional pre-deal research issues
  • Conducting Information Barriers (public/private designation) review
  • Working together with other LOB compliance on all control room matters (e.g. Information Barriers, MNPI, sales and trading) impacting them
  • Providing training
  • Updating procedural manuals
  • Working with Technology on enhancement projects
Essential Skills / Experience
  • University graduate
  • Good analytical skills
  • Good communication skills
  • Multi-tasking
  • Team player
  • Self-motivated, proactive, decisive
  • Experience in Compliance is an advantage
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