- Capital Markets
GF Vice President ICRM Control Group Control Room
Location: APAC-HKG-Hong Kong-Hong Kong
The APAC ICRM Control Group is responsible for the establishment and maintenance of the Firm's various information barriers or ‘Chinese Walls’ which operate between the Firm’s public and private side businesses, which are designed to prevent the misuse of material non-public information ("MNPI") or inside information and ensure compliance with internal policies, external regulation and legal requirements.
The team is responsible for identifying potential conflicts of interest and following close analysis and discussion, taking action to avoid conflicting activities between the Firm’s various businesses. The team also provides advisory support in relation to regulatory requirements to business employees across Asia Pacific, including research analysts, investment bankers and sales & trading staff. The Asia Pacific team works closely on a regular basis with the wider global Control Group teams (based in Belfast, New York and Tokyo) as well as with external legal counsel across the regions, tracking legal and regulatory changes across the globe in order to keep conflict management systems and policies up to date.
The Asia Pacific Control Group has a presence in Hong Kong, Mumbai and Sydney.
- Working with the Firm’s Investment Banking and Capital Markets professionals to review advisory and financing transaction for conflicts of interest, to conduct materiality assessments and maintain watch and restricted lists
- Working with the Firm’s Research division to provide advice on regulatory matters in relation to research product (e.g. Investor Education Research and ordinary course research publication) as well as managing the process for interaction between bankers and analysts in capital formation under the Firm’s policies and procedures
- Managing Information barrier designations and working with key stakeholders, including businesses, product and country ICRM functions to advise on information barrier designations and issues
- Provide ad-hoc advisory services to the business to address and implement Information Barrier procedures throughout the Firm, including providing input into global, regional and local policies and procedures
- Review research product prior to publication in order to identify and address any problematic legal, regulatory and reputational issues.
- Maintenance of the Control Group logs (for example on Information Barrier breaches)
- Managing wall-crossings for public-side employees who may become involved in private side transactions
- Undertake training and development programs for the relevant business on relevant requirements and practices
- Manage ad-hoc projects
- Bachelor's Degree