SEEK Asia Style Guide

Compliance Manager / Senior Manager - Control RoomSpencer Ogden (Hong Kong) Limited
Compliance Manager / Senior Manager - Control RoomSpencer Ogden (Hong Kong) Limited
Job Highlights
  • Central Compliance
  • Control room
  • Banking
Job Description

 My client is looking for potential candidates to join the central compliance department.

 

Compliance Manager / Senior Manager - Control Room

Responsibilities

  • responsible for day to day efficient operation of the Control Room, including but not limited to develop, maintenance and update of control room operating process, procedural manual, wall-crossing, maintenance of Watchlist, etc
  • handle the process for employee dealings, approving request, monitoring on employee dealing activities as required
  • review and approve Wall-crossing requests from business units and maintain up to date insider lists
  • work with Legal and other Compliance teams on all control room matters
  • keep abreast of existing and new regulatory requirements
  • take ad-hoc compliance related projects

 

Requirements 

  • University graduate in Banking, Business Administration, Finance or related areas
  • Minimum of 3 years' working experience in the Control Room and related compliance matters
  • Good understanding of the current regulatory environment and financial markets and securities regulations and rules
  • Strong analytical and detailed oriented with good initiative and able to work independently
  • Able to exercise judgment and liaise effectively with the Business Units
  • A team player with good communication skills and risk awareness
  • Proficient analytical skills and report writing skills
  • Good command in both spoken and written English and Chinese, including Putonghua

 

 

Additional Information
Career Level
Not Specified
Qualification
Not Specified
Industry
Years of Experience
Not Specified
Employment Type
Full Time, Permanent
Benefits
Dental insurance, Double pay, Five-day work week, Performance bonus
Company details

Spencer Ogden is the recruiter of choice. By providing end to end full life cycle services within various sectors; we are able to offer a 360 degree recruitment solution to our Clients. With a presence in all the major global hubs including the UK, Germany, Scotland, Middle East, Canada, Singapore, Australia, Hong Kong and the United States we are strategically placed to accommodate our clients’ and candidates’ needs.

 

With vast knowledge and experience within different sectors of the market, we represent professionals at all levels and recruit for clients internationally within:

 

Construction & Property
Facilities Management
Finance and Trading
Power & Energy
Renewables
Information Technology
Sales & Marketing
Mining & Resources

 

At Spencer Ogden we are able to think outside of the box, work together cross sector in order to facilitate the necessary change and the subsequent changing needs of our clients and candidates.


We have access to an international database and a global relationship network in all our sectors ensuring a premium service is delivered to both clients and candidates, cementing our brand at the forefront of our industry.