VP, Control Room, Leading Investment Bank

Location: Hong Kong, Hong Kong
Contract Type: Permanent
Specialisation: Banking & Financial Services
Salary: HK$1000000.00 - HK$1200000.00 per annum + Discretionary Bonus
REF: AS00045251_1503314080

Our client is a leading European Banking group with an established investment banking business in Asia. As part of continued investments in building out and strengthening the Compliance function, an excellent opportunity has arisen for an experienced Compliance professional to join their Control Room Compliance Team, based in Hong Kong.
Reporting to the Regional Functional Leader, you will be part of the Asia Control Room team as a senior member in Hong Kong. You will be involved in the day-to-day control room operations, reviewing insider lists, wall crossings, disclosures, research reports and perform surveillance and monitoring on watch / restricted lists and trading activities. Additionally you will work on research clearance, coordinate with Legal and Compliance to monitor restrict sales, trading and research activities and log and evidence breaches on internal systems. As a senior member of the team, you will also provide advice to the business on trading and restricted list related queries, prepare training materials to the business and compliance teams and work with the teams on policy and procedural development and solutions. You will actively be involved in internal assurance reviews, compliance risk assessments, global projects and support the Asia and other regions.

To qualify, individuals must possess:

  • University degree with at least 5 - 7 years experience in Control Room Compliance experience plus previous relevant experience in compliance / control / risk gained from financial institutions
  • Experience in surveillance and monitoring would be advantageous
  • Good understanding of regulatory rules related to investment banking and securities
  • Familiarity to the Front Office environment and ability to partner with / interact closely with the business
  • Excellent communication skills with fluency in English

Contact Amy Ho (852) 3101 3066 or click APPLY NOW button quoting reference number AH 45251. www.ambition.com.hk

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