Head of Control

5 days ago


Hong Kong, Central and Western District, Hong Kong SAR China BOC International Full time

The Role

VP, Head of Control Room, Legal & Compliance Division

Key Accountabilities

  1. Responsible for the development and implementation of appropriate compliance process, systems and controls for the Control Room and investment banking / corporate financing (IBD) function, including staff dealing policy and monitoring, maintenance of watch and restricted lists, IBD deal related compliance monitoring, etc;
  2. Establish and maintain a regular compliance review program to identify compliance problems and cases of possible non-compliance with internal and external rules and regulations with a particular focus on the potential for market manipulation/ abuse, as well as issues such as insider trading, etc;
  3. Maintain a monitoring program in employee securities transactions with a particular focus on violations of watch list/grey list requirements, as well as issues relating to insider trading;
  4. Maintain compliance with "Chinese wall" requirements and administer "Chinese wall" crossing procedures;
  5. Responsible for the process of reviewing and approving research reports;
  6. Liaise with business and other units to evaluate and implement control processes;
  7. IBD related compliance monitoring, and IBD
  8. Such other duties as shall from time to time be directed by your superiors.

Skills & Experience

  1. Degree holder in business, accounting, law or related disciplines;
  2. Minimum of 10 years or above of compliance experience with particular focus on providing compliance & control room advisory and support to the front-line and operations;
  3. Good advisory and communication skills and ability to work under minimum supervision;
  4. Excellent command of both written and spoken English and Chinese, ability to communicate in Mandarin preferred

Other Information

Notes to applicants:

  • Please apply in strict confidence with full resume, academic record, current and expected salaries.
  • The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months.
  • Candidates with Enhanced Competency Framework (ECF): please state on the CV.

About BOCI

As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited ("BOCI"), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career for supporting our group.





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