Job ref no.: CT3114388-01#5115

VP Control Room Compliance

Robert Walters

This is one of the largest banking group in the world. They are looking for a senior control room professional to join their control room compliance team covering research, control room and conflicts. Reporting into the team head you will be covering the following-

Key responsibilities:

  • Involvement in all aspects of the daily operation of the control room including but not limited to review of insider lists, wall crossings, monitoring and surveillance, disclosures reviews, media requests
  • Reviewing research publications, active involvement in research clearance shifts (including early morning shifts) to support the Asia and US regions
  • Monitoring and surveillance activities both in conducting daily reviews and in handling escalations of issues identified for areas including watch and restricted list surveillance, trade ideas monitoring, and other ad-hoc reporting of issues that create potential reputational and/or regulatory risk to the Bank
  • Review and preparation of training materials and conduct training both to Compliance and to business as required
  • Provide guidance and timely responses to ad hoc queries from the front office including those related to trading and the restricted list, banking requests for chaperoning, and data requests from research

Key skills:

  • College or university graduate with 8+ years of Compliance experience in financial services, preferably with Control Room and/or Private Side Compliance experience
  • Strong understanding of information control and conflicts of interest issues, as well as surveillance and monitoring experience
  • Excellent English communication skills both orally and in writing with ability to articulate problems, issues, and proposals effectively and with an advanced command of concepts and procedures
  • Ability to interact with senior front office personnel and confidence to uphold Compliance positions under pressure

Get in touch

Reshma Gope

+852 21619414

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More job information
Job ref no. CT3114388-01#5115
  • N/A
Job Function
Employment Term
  • Permanent
  • Full-time
  • 8 years - 13 years
Career Level
  • Non-management level
  • Degree