Senior AVP, APAC Control Room

Compliance Control Room Specialist - AVP Embark on an exciting opportunity as a member of the Compliance Control Room team, where the key objective of the role includes Control Room and Conflicts Management functions as set out below. The Compliance Control Room is responsible for managing Conduct and Reputational Risk across all lines of business. This...

An interesting opportunity for junior to middle control room specialists to join a reputable financial institution in Hong Kong. Responsible for the control room and research compliance function within the APAC region, providing clearance on Investment Research, maintaining watch list and restricted list, and developing a relevant compliance framework and...

A financial advisory firm in Hong Kong seeks a Regulatory Reporting and Surveillance expert at the AVP/VP level. This role requires strong experience in APAC regulatory reporting, leading automation efforts, and collaborating with IT to enhance reporting controls. Ideal candidates will possess excellent communication skills and a detailed understanding of...

An interesting opportunity for junior to middle control room specialists to join a global financial institution in APAC. You will maintain the watch and restricted list, maintain and monitor the firm’s information barriers, facilitate wall-crossing and conflict clearance, provide relevant training to business and assist on policies and procedures...

A global financial institution seeks junior to middle control room specialists in Hong Kong. The role involves maintaining the watch list, monitoring information barriers, facilitating conflict clearance, and providing training. Candidates must have at least 3 years’ experience in IBD Compliance or Control Room, with fluency in Chinese (Mandarin or...

Rooms Controller Shangri‑La Group is headquartered in Hong Kong SAR and manages a portfolio of more than 100 luxury hotels under five brands: Shangri‑La Hotels & Resorts, Shangri‑La Signatures, Kerry Hotels, JEN by Shangri‑La, and Traders. About the Role As a Rooms Controller, you will manage key aspects of guest room operations, ensuring a smooth...

Finance Transformation Specialist (APAC) Business Partnering | Program Implementation | Operation Excellence | Stakeholder Engagement This is a full-time on-site role for a Finance Transformation Specialist (APAC) located in Hong Kong SAR. The role offers exposure across 10+ regions and involves driving innovation, enhancing financial discipline, and...

A leading financial institution in Hong Kong is seeking a Regulatory Reporting and Surveillance professional at the AVP/VP level. The role involves leading and executing timely regulatory reporting across APAC, enhancing control frameworks, and collaborating with IT on reporting architecture. The ideal candidate is a subject-matter expert in regulatory...

Overview A leading global financial institution seeks an experienced Compliance professional to manage Legal, Regulatory, and Reputational Risks across various business lines within the APAC Region (Hong Kong/Singapore). This role is critical to controlling Market Abuse, Conflicts of Interest, and regulatory compliance via Information Barriers, Insider...

Regulatory Reporting and Surveillance - AVP/VP Subject matter expert for APAC regulatory reporting (trade repositories, SEBI, QFII, short positions). Lead controls, automation and IT partnership to ensure accurate, timely regulatory submissions and minimise operational risk. Key Responsibilities Lead and execute timely, accurate regulatory transaction and...