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Ashford Benjamin Ltd

Control Room - Global Investment Bank

Ashford Benjamin Ltd Hong Kong
Posted 5 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 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
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, ...
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