Control Room – VP recruitment
Main FunctionAssist the US Control Room with the following daily responsibilities listed below. Main DutiesMain Responsibilities • The establishment and maintenance of Chinese Walls throughout organisation• Advise public and private side management with respect to Chinese Wall crossing requests• Performing core Control Room functions relating to investment banking and research related matters including transaction updates and materiality analysis• Review and approve equity and debt research reports against the Watch Read more […]
Regional Head of Compliance – Control Room/Surveillance (Ref# RHC-CRS/DK310812) recruitment
The incumbent will take lead a large team who are responsible for overseeing regional compliance with respect to activities in relation to securities transactions. You will assume a broad oversight for Surveillance activities associated with compliance with bank’s internal policies with respect to employee trading. The role requires you to work closely with regional senior management to strength the oversight of various associated areas of compliance. You will be involved in assessing the effectiveness of established compliance surveillance and work with Global Counterparts to implement targeted Read more […]
Control Room, Investment Banking recruitment
The Company An opportunity has arisen for a Compliance Associate to join our client’s Compliance team, focusing in Control Room. The Control Room’s main responsibility is to maintain the bank’s information barriers by monitoring and controlling the flow of confidential information, working with the Conflicts Group to facilitate approval for bank and client transactions and subsequent risk management activities. The Role Providing compliance advice to the Investment Banking business unit, covering MA, Corporate Advisory, ECM and DCM; Reviewing, managing and implementing the staff trading policy; Read more […]
Control Room, Compliance, Banking recruitment
The Company Our client is a major global financial services group with an extensive international presence. To cope with their business expansion, they are seeking an experienced Control Room Compliance professional to join them. This role has a defined career path and offers progression for a high achiever. The Role Monitoring staff trading activities; Handling research and conflicts clearance; Providing compliance approval for staff dealing; Reviewing and implement enhanced compliance control policies and procedures; Updating and maintaining Watch, Restricted Confidential and Grey list; Read more […]
AVP Compliance Officer – Transaction Monitoring – Control Room – Review recruitment
This role will form part of a team of 5 local compliance officers who will be responsible for Compliance reviews in the UK. This is a AVP level hire and you will report to the Head of the Compliance Review team. Compliance reviews will include reviews within the Investment Bank, Private Bank, Asset Management and Shared Services. Specifically, this will include desk reviews, themed reviews and a number of other internal reviews of the Compliance department. The candidate will be responsible for:• Trade monitoring and surveillance programme.• Produce the monthly compliance bulletin, detailing Read more […]
Associate – Control Room, Investment Banking (40-60K) recruitment
The Company Our client is a well known international investment bank with a strong reputation across the Asia Pacific region. They are currently identifying a motivated and dedicated individual to join their growing control room team. The Role – Developing and implementing Chinese Wall policies; – Updating and maintaining Watch and Restricted Lists, Grey list etc; – Researching, reviewing and clearing research reports; – Supervising the handling of vetting requests; – Advising Research on pre-deal report related matters; – Monitoring wall crossing activities and issues; – Surveillance and monitoring Read more […]
CONTROL ROOM – Compliance Officer recruitment
To provide pro-active support for the appropriate identification and resolution of conflicts of interest, advice on and operation of SG internal policies regarding conflicts of interest, Chinese walls, personal account dealing, outside business interests, and regulatory disclosure of SG activities as required.Main responsibilities To ensure that any potential conflicts of interest are dealt with in accordance with the Conflicts of Interest Policy and are referred, as appropriate, to the relevant manager and within Compliance as appropriate To advise on the application of the Conflicts of Interest Read more […]
AVP – Control Room – Investment Banking recruitment
The Company A leading integrated financial services organisation with offices globally seeks to recruit a Control Room AVP. The Role – Maintain the watch and restricted list; – Monitor and advise on wall crossing activities and issues; – Personal Account Dealings clearance and monitoring; – Review and approve research reports; – Review and update the Asia Control Room Policies and Procedures Manual; – Handle staff dealing matters, including review and approve of staff dealing applications and new hires declaration etc; – Deal with wall-crossing requests and coordinate all the necessary approvals Read more […]