Control Room and Research Compliance – Financial Institution

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 reputable financial institution in Hong Kong is seeking junior to middle control room specialists. The role involves managing the control room and research compliance, providing clearance on Investment Research, and developing compliance frameworks. Candidates should have at least 4 years of experience in control room compliance and a strong background in...

Ashford Benjamin are partnering with global financial institutions on middle level Investment Banking Compliance search projects. Exciting opportunities to join dynamic business and grow with the company. You will be responsible for advising investment banking on compliance related matters, assisting control room and research compliance function and...

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...

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...

A leading financial institution in Hong Kong is seeking a dedicated professional for the role of Lead, FCC Control. The candidate will lead a team responsible for identifying and managing financial crime risks through regular analysis and investigations. Key responsibilities include conducting root cause analyses, managing FCC projects, and streamlining...

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...

Overview Join to apply for the Assistant Compliance Manager, Compliance role at CLSA The role involves supporting the day to day workflow of the Control Room. All business lines communicate directly with the Global Control Room to provide timely updates on transactions. Control Room will participate in reviewing, maintaining and providing guidance on...

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...

A global risk consultancy in Hong Kong is seeking a compliance due diligence researcher to conduct media and database research into potential counterparties. The role demands strong research and writing skills, particularly in English, Japanese, and Mandarin. Ideal candidates will possess the ability to distil complex information and draft reports under...