Head of control room (top tier chinese securities firm)

Your new company

You will be joining a well-established Chinese financial institution with a strong footprint across investment banking and asset management businesses. The organisation continues to expand its regional presence and is committed to maintaining robust governance, regulatory standards, and best-in-class compliance practices.

Your new role
As the Head of Control Room, you will lead the Control Room function and oversee firm-wide information barrier management and market conduct compliance across investment banking and asset management activities.
Key responsibilities include:

• Leading the Control Room team with responsibility for MNPI management, wall-crossing procedures, watch/restricted lists, and surveillance controls
• Advising front office, research, and investment teams on conflicts of interest, information barriers, and regulatory requirements
• Overseeing deal and transaction-related compliance, including private/public side transitions
• Managing policies and frameworks aligned with regional regulatory expectations (e.g., Hong Kong, broader APAC)
• Acting as a key point of contact for regulators, internal audit, and senior management on Control Room matters
• Driving enhancements to systems, controls, and governance processes to strengthen compliance oversight

What you'll need to succeed

• Extensive compliance experience within banking, with strong exposure to investment banking and asset management
• Proven leadership experience managing Control Room or market conduct functions
• Deep understanding of MNPI, information barriers, conflicts management, and regulatory frameworks in Asia-Pacific
• Strong stakeholder management skills with the ability to influence senior business leaders
• Experience interacting with regulators and managing audits or regulatory reviews
• Excellent analytical, communication, and problem-solving capabilities

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or share your profile to [email protected]
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.