VP, Head of Control Room, Legal

The Role As part of an expanding Control Room Compliance Compliance Team, you will be reporting to the Regional Head of Compliance.  You will be responsible for the maintenance of watch lists and restricted lists, renewing and continuing the development of Chinese Wall policies, and handling conflict analysis.  You will be responsible for...

Job OverviewPure Hong Kong is seeking an experienced Compliance Specialist to join our expanding Control Room Compliance Team.About the RoleThis key position will report directly to the Regional Head of Compliance and be responsible for maintaining watch lists and restricted lists, renewing and continuing the development of Chinese Wall policies, and...

CLIENT BACKGROUND Join a leading investment bank in Hong Kong, where we are committed to excellence in financial services. Our dynamic team is dedicated to ensuring compliance and operational integrity while supporting our clients' diverse needs. JOB RESPONSIBILITY Monitor and manage communication within the control room to ensure compliance with...

CLIENT BACKGROUND Join a leading investment bank in Hong Kong, where we are committed to excellence in financial services. Our dynamic team is dedicated to ensuring compliance and operational integrity while supporting our clients' diverse needs. JOB RESPONSIBILITY Monitor and manage communication within the control room to ensure compliance with...

Key Responsibilities: manage watchlist and restricted-list review research prior to publication handle research clearance and maintain control room related policies and procedures advis business including sales and trading and research of restrictive and permissible activities liaise with investment banking division regarding deal announcements work with...

Job SummaryPFCC Group Limited is seeking a highly skilled Senior Compliance Officer to join our team in the control room. This is a critical role that requires a strong understanding of regulatory requirements and compliance procedures.About the RoleThe Senior Compliance Officer will be responsible for managing watchlists and restricted lists, reviewing...

Responsibilities: Responsible APAC Control Room and Research Compliance function Providing compliance clearance on Investment Research against the Watch and Restricted Lists and maintain transactional/role disclosures Develop compliance framework, policies, procedure, and training program for Corporate and Investment Banking business Provide compliance...

Job OverviewAshford Benjamin Ltd is seeking a highly experienced Senior Compliance Officer to join our team in APAC Control RoomKey ResponsibilitiesOversee the APAC Control Room and Research Compliance function, ensuring adherence to regulatory requirementsProvide compliance clearance on Investment Research against Watch and Restricted Lists, maintaining...

Our client is a global bank who is looking for a VP level product controller to join their management team in Hong Kong, reporting offshore. Responsibilities include: Analysism explaination and validation of the P&L and Balance Sheet drivers P&L and balance sheet commentaries Represent finance in advisory on new transactions and products. Work closely...

Our client is a global boutique bank with both investment banking and asset management, who is looking for a financial controller to join their firm as the VP for finance reporting to an off shore Head of Finance (Asia Pac). As the sole financial accountant in Hong Kong, the successful candidate must possess strong technical skills, ideally in asset...

CLIENT BACKGROUND We are looking for an experienced and knowledgeable IBD Compliance Specialist to join our team. The successful candidate will have extensive experience in investment banking division (IBD) product knowledge or control room operations, to work in the regional team and report to the Head of Compliance to work closely with the business team...

Our Client European Based Wealth Management Banking Group, hiring over 550 employees in APAC region and total AUM USD of 195 Billion+ is in search for Compliance Monitoring Veteran of VP Level for Greater China region. Job Duties Perform annual risk assessment to identify key risk areas that need to be monitored. Report to North Asia Head of Compliance....

Key Responsibilities: Conduct thorough research and analysis related to potential conflicts of interest. Manage and maintain watchlists and restricted lists to ensure compliance with regulatory requirements. Collaborate with the IBD team to assess and provide compliance guidance on transactions and activities. Monitor market developments and assess their...

We are looking to hire for one of our ecosystem projects. Our client, a leading digital assets ecosystem globally, is in search of an experienced VP of Trading Risk Control. In this role, you will: Lead the trading risk control team, creating and executing comprehensive risk management strategies. Design and refine risk monitoring systems for real-time...

AVP/VP, Integrated Risk Control - Risk Management Department, EA - Risk Management Planning Group Job Duties & Responsibilities: Establish and lead high priority initiatives with a regulatory focus to enhance the Bank's risk governance framework, policies, rules and procedures Implement new processes to enhance oversights of the Bank's overall Risks,...

CLIENT BACKGROUND We are looking for an experienced and knowledgeable IBD Compliance Specialist to join our team. The successful candidate will have extensive experience in investment banking division (IBD) product knowledge or control room operations, to work in the regional team and report to the Head of Compliance to work closely with the business team on...

In-House Litigation Lawyer - SFC, Regulatory, Client Complaints (VP/SVP) Location: Hong Kong   Background Our client is a top international banking and financial services group with a multi-billion USD market capitalization. You will assist the Legal Department and other internal stakeholders with handling all aspects and types of contentious and...

Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure...

Get AI-powered advice on this job and more exclusive features. Our Business Intelligence teams work as trusted advisors to leading Fortune 500 companies, financial institutions, private market investors, and law firms across the region. We help our clients understand and manage a variety of business risks, enabling them to succeed in complex environments....

Key Responsibilities: Project Leadership: Lead and manage regional legal, compliance, and risk projects from initiation to completion, ensuring timelines, budgets, and quality standards are met. Stakeholder Management: Collaborate with senior leadership, legal teams, compliance officers, and risk management professionals to align project objectives with...