Front Office Controls - Investment Bank / 70k to 130k

Front Office Controls - Investment Bank / Global Markets / 70k to 130k

I'm currently helping our client seeking a candidate with 1st line or 1.5 line defense experience to join the team in HK.

Key Responsibilities

• Design and implement pre-trade and trade business controls for new regulatory requirements and supervision tools, while identifying and driving enhancements to existing controls.
• Develop subject matter expertise in business controls to effectively investigate, remediate, and prevent control issues.
• Partner closely with global Sales, Trading, Compliance, Legal, Operations, and Engineering teams to design and optimize business control workflows for regulatory implementations.
• Support strategic projects to streamline pre-trade, trade, and supervisory controls, workflows, and processes across regulatory obligations.
• Contribute to the development of meaningful key metrics to assess the effectiveness of the business control framework.
• Execute the firm's data governance framework, policies, standards, and guidelines.

Basic Qualifications

• Bachelor's degree or equivalent.
• Relevant experience, with direct exposure to regulatory implementation projects or front-office supervision frameworks.
• Solid understanding of risk and controls frameworks in Trading and Sales businesses.
• Strong knowledge of Global Markets, and Sales & Trading functions, with the ability to build effective relationships with front-office personnel.
• Proven ability to collaborate with stakeholders to clarify obligations, translate business logic, and deliver solutions.
• Strong prioritization skills and a drive to succeed in a fast-changing, high-pressure environment with competing demands.
• Skill in identifying complex issues, articulating them clearly to diverse audiences, proposing effective mitigations/solutions, and escalating appropriately.
• Strong analytical and critical thinking abilities, including root cause, trend, and impact analysis to inform decisions.

Please reach out to German Cham at [email protected] for more information.

Front Office Controls - Investment Bank / Global Markets / 70k to 130k