My client, a leading full-service financial institution with fast-expanding business in Asia across sales & trading, corporate finance, capital markets, asset management and wealth management, is looking for a VP, Control Room.
Responsibilities
- Maintain Watch List and Restricted List to ensure compliance with applicable laws, regulations, and policies
- Manage Chinese Wall policy and procedures, including executing wall crossings where appropriate
- Review and update Control Room-related policies and procedures according to regulatory changes
- Support IBD and Research compliance advisory work
- Provide relevant internal training to promote a compliance culture
Requirements
- Degree holder with at least 5 years of experience in compliance or Control Room function
- Familiar with information barrier regulations
- Self-starter, detail-oriented, good communication skills
- Good command of written and spoken English and Chinese (including Mandarin)
For more information, please feel free to contact Calvin Chan at +852 3695 5186 or send your CV to cchan@argyllscott.com.hk
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