A Chinese top tier private bank is now hiring the VP of Advisory Compliance (IBD and Control Room).
- Perform Control Room functions to handle research and conflict clearance and to maintain Control Room-related policies and procedures
- Support IBD and Research compliance advisory work
- Coordinate with IBD and other private-side businesses regarding deal announcements, advise on questions regarding Watch and Restricted Lists
- Maintain the Watch and Restricted Lists and implement restrictions pursuant to applicable laws, rules, regulations and codes
- University degree in Business Administration, Finance, Risk Management, Law or other related discipline
- 10 years solid experience in compliance, audit or related field in the financial services sector or with regulatory authorities
- 7+ years IBD and control room dedicated compliance experience