Job Responsibilities:
- Maintain Control Room related policies and procedures
- Support IBD and research compliance advisory
- Coordinate with IBD and other private-side business
- Deliver Control Room Compliance training
- Manage Information Barriers Surveillance program
Job Qualification
- 5-10 years solid experience in compliance, audit or related field in the financial services
- Minimum 4-7 years IBD and control room compliance experience
- Written and speck Cantonese, Mandarin and English
