AVP, Control Room

Job Responsibilities:

• Providing preclearance to Sales & Trading business in relation to the company’s restricted list
• Assisting with maintenance of the Firm’s Information Barrier and Restricted List, Watch List, and Grey list Applications
• Implementation of the Chinese Wall
• Performing independent desk reviews and monitoring of investment banking and other Private Side business activities
• Providing advice and compliance oversight to all Banking teams on transactions, new business initiatives and significant business changes affecting the firm, regulatory, and repetitional issues

Job Requirements:

• Bachelor’s degree in law, Finance, Business Administration, or related disciplines.
• Minimum of 5 years or above of compliance experience with particular focus on providing compliance & control room advisory and support to the front-line and operations.
• Excellent command of both written and spoken English and Chinese, ability to communicate in Mandarin preferred

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

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