AVP Control Room Compliance
- AVP Level Control Room position
- Opportunity with reputable Global Investment Bank
- Coverage of Capital Markets Business
Our client is one of the leading global investment banks, and has a strong reputation across the Asia pacific region. As part of their commitment to further growth, they currently have an opportunity for an AVP level candidate to join as a Compliance Control Room specialist within their Hong Kong team.
This role will cover Equity Capital Markets and Debt Capital Markets from a product compliance perspective and will be responsible for providing training and advice on these matters. The incumbent will need to be up to date on regulatory developments and be able to update policy initiatives, work on projects and also new business initiatives. The role will be responsible for implementing rules and regulations on investment banking and capital markets and will be a contact point for Audit, Compliance, Risk and regulatory matters. It will also be necessary to develop training programmes. This will also be a hands on position, and the role will be expected to maintain restriction lists and manage information barriers, also providing research on pre-clearance. There will also be a regional element, with the successful candidate being involved in implementing regional and global policy and procedure.
To qualify, individuals must possess:
- A business or legal related bachelor’s degree
- At least 5 years of experience in control room compliance and/ or Capital Markets compliance experience
- Understanding of compliance within an investment banking environment
- Exposure to issues surrounding sales, trading and research
- Substantial knowledge of relevant regulations for Asia
- Excellent communication skills in English, with Mandarin fluency preferable
Contact Lucy Reith-Pert on (852) 3103 4316 or APPLY NOW by clicking the button below quoting reference number LRP22987 www.ambition.com.hk
Data provided is for recruitment purposes only.
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