Posted by

Vivian Chen

Associate Director

We are instructed on multiple control room headcounts with global investment banks in Hong Kong.

Responsibilities:

Responsible APAC Control Room function
Develop compliance framework, policies, procedure, and training program for Corporate and Investment Banking business
Provide compliance advisory to research, regulatory reporting, and business matters
Approve and maintain restricted, watch, and conflict list, wall crossing, information barriers issue
Participate in regulator enquiry, inspection, and management meeting to enhance control framework

Requirements:

Not less than 2 years of experience covering control room
APAC exposure with direct experience working with global management

ABOUT COMPANY

Ashford Benjamin Ltd

Hong Kong

HR & Recruitment

Ashford Benjamin is a leading executive search firm, focusing on the legal, risk & compliance professions. The majority of our projects are retained, ...

More Jobs From Ashford Benjamin Ltd

Regulatory Compliance - Global Investment Bank

Ashford Benjamin Ltd

Hong Kong

4 days ago Full time Competitive