Responsibilities:

• Handle compliance work in relation to securities brokerage, ECM and DCM business;
• Handle Chinese Walls and control room matters including but not limited to maintenance of the Watch List and Restricted List, wall crossing procedures, market sounding procedures, independence checks, staff dealing matters;
• Assist in transaction monitoring; 
• Update and review policies and regular reporting in simplified Chinese;
• Other ad hoc tasks as assigned.

Requirements:

• Degree holder in finance, accounting, law or related disciplines;
• Minimum 3 years of relevant experience working in securities brokerage;
• Fluent in English and Chinese (Proficiency in Mandarin will be an advantage) and Chinese writing skills;
• Immediately available is highly preferred.

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