HSBCAssistant Manager Compliance
Jan. 2019 - Dec. 2019London, United Kingdom• Successfully undertaking regular assessments of current compliance status and establishing, monitoring and reviewing mechanisms to ensure compliance with policies and procedures.
• Maintaining and monitoring the firms Chinese walls/wall crossing and flow of price sensitive information.
• Implementing necessary sales, trading and research restriction.
• Management of the firms insiders list.
• Providing advice and guidance to the business in relation to the Chinese wall , insider dealing, market abuse, permissible interaction with research analysts and the implication of not following the firms restricted list policy.
• Managing projects in relation to the Personal Account Dealing system and processing enhancements
• Monitoring processes requirements, providing guidance and supporting regulatory change on relevant regulations such as MiFID II, Market Abuse Regulation, COBs