Control Room & Compliance Advisory VP

CLIENT BACKGROUND
Our client is a global financial institution with strong investment banking and capital markets capabilities. The firm maintains a robust compliance culture and offers opportunities for experienced professionals to contribute to high‑impact advisory and control functions.

JOB RESPONSIBILITY

• Provide compliance advisory support to Investment Banking and Capital Markets teams
• Oversee personal account dealing monitoring and employee trading controls
• Manage control room tasks, including wall‑crossing, information barriers, and maintaining restricted/watch lists
• Support research compliance reviews and publication controls
• Identify and escalate conflicts of interest and insider information risks
• Monitor regulatory developments and contribute to policy updates and training

JOB REQUIREMENTS

• 8+ years of experience in IBD or Capital Markets Compliance
• Strong knowledge of personal account dealing, control room operations, research compliance, insider trading risks, and list management
• Solid understanding of regional regulatory frameworks
• Excellent communication and stakeholder management skills
• Fluent in English and Cantonese
• Ability to work independently in a fast‑paced environment