Head of Compliance Control Room - Hong Kong
- SalaryHK$1,200,000 - HK$1,800,000 + Excellent Bonus and Benefits
- LocationHong Kong, Hong Kong
- SectorCompliance & Regulation, Securities & Wholesale Banking, Investment Banking/Stockbroking
- Reference1251G
- PublishedNovember 11th 2009
Our client, a leading international banking group, is looking for a senior control room professional to take charge of their Hong Kong control room. Reporting to the Head of Regional Compliance you will have the opportunity to gain broad exposure to the activities of all Group businesses in the region and will be instrumental in driving and developing the control room in the region and facilitate relationship building with business managers across the Group.
Duties will include:
• Daily management of the control function, including mentoring and managing a talented team of compliance professionals
• Ensuring that all conflicts are managed and resolved in a timely manner and that adequate Chinese wall protocols and controls are in place.
• Ensuring that all research is reviewed and cleared in a timely manner.
• Ensuring that all restricted trading activities are monitored and adhered too.
• Ensuring that position monitoring and disclosures are made in a timely and accurate manner
• Ensuring that all personal dealing is signed off and recorded.
• Overseeing daily monitoring of exception reports and investigations and clearance of issues and breaches.
• Liaising with other regional compliance departments and reporting control issues, breaches and disclosures to Head Office Control Room.
The successful candidate will have senior level Compliance Control Room experience gained with a similar large international investment bank. While you will need excellent staff development and mentoring skills as important will be your ability to quickly develop relationships with internal and external parties and your ability to positively influence your peers and senior management. This role will suit someone with superior communication skills and the ability to think critically and deliver solutions and results when under pressure.
For further information or a confidential no obligation discussion, please feel free to call Gary Collins, our APAC regional director on 852-2824-8430 or send your details to him as below
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
