Control Room Compliance Officer #120986

Intermediate (3-6 years)


Technical Skills

  • Capital Markets
  • Compliance
  • Listing Rules
  • Project Management
  • Settlements
  • Training

Job Description

Control Room Compliance Officer #120986

Location: Hong Kong-Hong Kong-Hong Kong

Credit Suisse’s Compliance department is currently seeking an extraordinary individual as a Vice President in the Hong Kong Control Room. The role reports to the Head of the Hong Kong Control Room, and involves supporting the Global and APAC regional Control Room team’s activities in the following areas:
  • Maintenance of the Watch and Restricted Lists
  • Review and approval of wall crossing requests
  • Review of research publications to identify potential conflicts of interest
  • Provision of advice and training to Research, Investment Banking & Capital Markets (IBCM) and other Compliance personnel relating to Control Room matters, including Information Barriers, applicable regulations, and Bank policies and procedures
  • Development and implementation of Bank policies and procedures relating to Information Barriers
  • Review of cross-divisional conflicts submissions
  • Review of Control Room systems
  • Collaboration with numerous Bank stakeholders, including IBCM, Research, and Legal; production of Control Room related metrics

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  • You have a sound understanding of the rules and regulations relevant to the operation of a Control Room for an investment bank
  • You possess a Bachelor’s Degree (or equivalent) plus a minimum of 5 years of experience in legal practice, banking, securities industry, and/or regulatory related fields
  • Control Room and/or banking compliance experience is helpful
  • You have knowledge of applicable securities laws including SEC Rules 144A, Reg. M and FINRA Rules 2241 & 2242, JOBS Act, Global Research Settlement, Hong Kong and Singapore Listing Rules and Takeover Codes.
  • You have strong financial markets and product knowledge
  • You have an extraordinary analytical ability; excellent organization and project management skills
  • You are inventive, flexible and responsive in dealing with people
  • You possess strong dedication to quality
  • You have the ability to get along with all levels of management in a professional and positive manner
  • You have strong communication, interpersonal, facilitation and presentation skills
  • You have experience working within a multinational environment
Employment TypeFull-time
Career LevelIntermediate (3-6 years)
Education LevelBachelor
Credit SuisseInvestment Banking and Brokerage

One Austin Road West, Kowloon, Hong Kong

directions_walk22 mins walk from Austin MTR Station