VP, Team Head of Control Room

职位描述

· Review and approval of research report;

· Coordination of brining staff over the wall and maintenance of proper audit trails of such activities;

· To ensure proper conflict checks are conducted on potential deals,

· To ensure the prompt handling of staff dealing approval and subsequent review and reconciliation

· To ensure timely and relevant compliance training are delivered

· To be the secretariat of the Sponsor Due Diligence Review Committee

· To coordinate among other units in relation to regulatory inspection and investigations;

· To ensure compliance of the Firm’s authorized unit trusts with the SFC’s Code of Unit Trusts and Mutual Funds; and

· To undertake various ad hoc compliance project

任职要求

· Bachelor's degree in Business, Accounting, Economics, Finance or other relevant disciplines

· At least over 8 years of experience in relation to compliance management experience on Control Room and Asset Management business.  .

· Good analytical, interpersonal and presentational skills, and the ability to manage projects and handling of multiple tasks simultaneously

· Good command of English, Cantonese and Mandarin