Director, Control Group - Research & Investment Banking Coverage
Hong KongFinance
About the role
FinEx AI summary
Lead oversight of Information Barriers and conflict management across Research and Investment Banking. Maintain Watch and Restricted Lists, review research for compliance, chaperone communications, and manage employee trading pre-clearances. Escalate complex conflicts and drive process improvements globally.
Core skills
Information BarriersConflict ManagementWatch and Restricted ListsWall Crossing PoliciesSecurities RegulationsM&A Research Policy
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