Legal and Compliance HK, Control Group, Manager / Director

Major tasks of the Control Group, to which the new hire will contribute, include:

I. Maintaining the Chinese Walls
- Maintain the Watch List and the Restricted List (which also entails communications with IBD for updates).
- Deal with Wall-crossing requests, and monitor the activities of marketing personnel who are over-the-Wall.
- Conduct conflict clearance for business units on different sides of the Chinese Wall.

II. Research rules
- Chaperone and gatekeep permissible communications between Research and IBD in accordance with the US Research Settlement implementation.
- Answer questions from Research and IBD in relation to the Research rules.

III. Surveillance
- Review surveillance for potential insider trading, front running and breaks of the Chinese-Wall by the Firm and by employees.
- Review surveillance for breaks of the Firm’s Watch and Restricted List policies.

IV. Review research
- Review all pending research materials against Watch and Restricted Lists.
- Identify perceived and real conflicts and work with internal/external counsel and/or management to resolve them.

V. Desk review
- Perform audit review on existing policies and procedures to assess effective they have been, whether employees have been following them, and consider improvement wherever necessary.
Requirements

Expectations of the potential candidate:
- Able to work as part of a team.
- Able to work within tight deadlines and under pressure.
- Excellent verbal and written English communication skills and the ability to interact with colleagues and external parties at all levels.
- Strong analytical skills and ability to “think on your feet”.
- Detail-oriented, thorough and thoughtful, able to make sound judgments.
- Practical and able to think creatively.
- Quick study.
- Proactive and able to work independently.

Experience:
- Manager to Director level.
- Minimum 3 -5 years of relevant working experience with a global financial services company preferably in the Control Group or Surveillance, in Compliance in general or with a securities exchange or securities regulator.