Discover your dream Career
For Recruiters
Ashford Benjamin Ltd

Control Room - Global Investment Bank

Ashford Benjamin Ltd Hong Kong
Posted 2 days ago Permanent Competitive
V
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 and Research Compliance function
  • Providing compliance clearance on Investment Research against the Watch and Restricted Lists and maintain transactional/role disclosures
  • 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 5 years of experience covering control room and research compliance
  • APAC exposure with direct experience working with global management

 

ABOUT COMPANY
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
Ashford Benjamin Ltd
Regulatory Compliance - Global Investment Bank
Ashford Benjamin Ltd
Hong Kong
2 days ago Full time Competitive
Ashford Benjamin Ltd
Equities Compliance - Global Investment Banks
Ashford Benjamin Ltd
Hong Kong
2 days ago Full time Competitive
Ashford Benjamin Ltd
Insurance Compliance Advisory
Ashford Benjamin Ltd
Hong Kong
4 days ago Full time Competitive
Ashford Benjamin Ltd
Operational Risk Specialist
Ashford Benjamin Ltd
Hong Kong
2 days ago Full time Competitive
Ashford Benjamin Ltd
Market Risk VP
Ashford Benjamin Ltd
Hong Kong
2 days ago Full time Competitive
Ashford Benjamin Ltd
Compliance Specialist - Hedge Fund
Ashford Benjamin Ltd
Hong Kong
2 days ago Full time Competitive
Ashford Benjamin Ltd
Market Risk - Hedge Fund
Ashford Benjamin Ltd
Hong Kong
2 days ago Full time Competitive
Ashford Benjamin Ltd
Electronic Trading Compliance
Ashford Benjamin Ltd
Hong Kong
4 days ago Full time Competitive
Ashford Benjamin Ltd
Counterparty Credit Risk AVP-VP
Ashford Benjamin Ltd
Hong Kong
2 days ago Full time Competitive

Boost your career

Find thousands of job opportunities by signing up to eFinancialCareers today.
Recommended Jobs