The Job:

• Maintain Control Room functions include monitoring and clearance of staff trading, wall-crossing, issuance of research report and market commentaries, office access etc.;
• Handle compliance matters between Corporate Finance and Global Markets including conflict/independence checks and placing transaction review;
• Collaborate with Business Units department in respect of daily compliance issues in managing conflicts by keeping abreast with new development in regulatory requirements and market tends etc. to maintain high level of awareness of potential risks;
• Provide real time and ongoing compliance support on ad hoc business development project for Group Control Room Develop and update Group Control Room policies and procedures to address changes in regulatory requirements; and
• Maintain Dealing and Advising Restricted Lists.

We support local hire with solid relevant working experience in HK.

• Bachelor degree or above;
• At least 5 years of relevant compliance experience;
• Previous experience working with banks, brokerages, stock exchanges, regulators or fund management companies are welcome to apply;
• Pragmatic, proactive and diligent with strong determination to understand thoroughly about contentious issues and the ability to resolve them accordingly;
• Good communication, interpersonal and influencing skills.
  

We are committed to build a team of competence individuals who have acquired relevant local solid working experience and with diversified exposure to work together with us. Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful.

We provide attractive remuneration package and fringe benefits for the right candidate. Interested parties please send detailed resume with current and expected salaries to Human Resources Department i) by mail: 22/F, Li Po Chun Chambers, 189 Des Voeux Road Central, HK; ii) by fax: 2537 5431; or iii) by using "APPLY NOW".

Please quote the reference in the application. If application is submitted in hard copy format, it should be placed in a sealed envelope marked “Confidential”. All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only. A copy of our Personal Information Collection Statement will be available upon request.

Haitong International Securities Group Limited (“Haitong International”: Stock Code: 665.HK) is a subsidiary of Haitong Securities Co., Ltd. (“Haitong Securities” Stock Code: 600837.SH; 6837.HK), one of the leading securities companies in China.

Haitong International is well-established to provide comprehensive and quality corporate finance, wealth management, asset management, fixed income, currency and commodities (FICC), institutional equities and a full spectrum of financial products and services to institutional clients and individual investors domestically and around the globe. As one of the most important overseas business platform of Haitong Securities, the Group strives to be a modern and comprehensive financial institution with leading position in the Greater China Region. 

The Company is led by a team of passionate and energetic professionals, we regard our staff the most treasurable asset and have been providing the best nurture and career prospect to any talents. We now invite high calibre candidates to join us.