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Vice President, Control Room Compliance & AML

Page Executive Hong Kong Hong Kong
Posted 4 days ago In-Office Permanent Negotiable
Our client is a leading global securities and asset management firm with huge presence in Greater China. They are recruiting for a hybrid Control Room & AML candidate to join their team. The newly-established Control Room is mainly responsible for managing the Chinese walls and the communication between Global Advisory and Research. In addition, the role will also be overseeing AML surveillance.

Our client is a leading global securities and asset management firm with huge presence in Greater China. If you are seeking a strategic opportunity with plenty of remit, do not hesitate to look further!


Role: VP, AML & Control Room

Location: Hong Kong

Salary: Competitive base salary with excellent annual bonus

Reporting to: Head of Compliance


  • Developing Control Room policies and procedures
  • Maintenance of the Watch, Grey and Restricted Lists
  • Control of the central compliance inbox and replying to mails
  • Coordinating and approving wall crossings
  • Monitor private investment transactions and recording the review findings
  • Maintaining the accuracy and completeness of the list of trading restrictions
  • Evaluating waivers on post trade market abuse and sanctions alerts
  • AML review and surveillance


  • Experience commensurate with a mid / senior role, gained within the Control Room and/ or AML departments of an investment bank.
  • Knowledge and understanding in relation to the HK Securities Rules, the Market Abuse Regime and rules and principles relating to the independence of research.
  • Good understanding of AML rules and guidelines set by the SFC
  • Must be able communicate in both English and Chinese (Mandarin and Cantonese)

Job Offer

Great working environment

Good benefits

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Jeremy Lam on +852 2848 4711.

Job ID  JN -032023-5962418
Hong Kong
HR & Recruitment

The executive search division of PageGroup, Page Executive provides a range of search, selection and talent management solutions for organisations on a permanent and interim basis.

We are recognised for our powerful in-house research function, the speed and flexibility of our response, and our high success rates in sourcing qualified candidates at senior management, executive and leadership levels.

We invest in building close and lasting relationships with our clients and the candidates.

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