Ashford Benjamin Ltd

Control Room - Global Investment Bank | HK Talent Engage

Published 2023-06-02 00:00:00

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Job description

Responsibilities:

  • Responsible APAC Control Room function
  • Develop compliance framework, policies, procedure, and training program for Corporate and Investment Banking business
  • Provide compliance advisory to research, regulatory reporting, and business matters
  • Approve and maintain restricted, watch, and conflict list, wall crossing, information barriers issue
  • Participate in regulator enquiry, inspection, and management meeting to enhance control framework

Requirements:

  • Not less than 2 years of experience covering control room
  • APAC exposure with direct experience working with global management

Job particulars

Job source
eFinancialCareers
Job reference
17724804
Date published
02 Jun 2023
Job keywords
Compliance/Legal,Compliance Regulatory,Trading,n/a,Investment Banking/M&A,Compliance

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