Control Room and Monitoring- One of the largest global bank
Robert Walters
Hong Kong, HK
6天前

This is a well known global bank with major business in corporate banking and global markets. Newly added headcount to be reporting into the Head of Compliance and this will be one of the key person in managing Control Room in this bank.

Key responsibilities :

Involvement in all aspects of the daily operation of the control room including but not limited to review of insider lists, wall crossings, monitoring and surveillance, disclosures reviews, media requests

Monitoring and surveillance activities both in conducting daily reviews and in handling escalations of issues identified for areas including watch and restricted list surveillance, trade ideas monitoring, and other ad-hoc reporting of issues that create potential reputational and / or regulatory risk to the Bank

Review and preparation of training materials and conduct training both to Compliance and to business as required

Provide guidance and timely responses to ad hoc queries from the front office including those related to trading and the restricted list, banking requests for chaperoning, and data requests from research

Key skills :

College or university graduate with 4+ years of Compliance experience in financial services, preferably with Control Room

Strong understanding of information control and conflicts of interest issues, as well as surveillance and monitoring experience

Excellent English communication skills both orally and in writing with ability to articulate problems, issues, and proposals effectively and with an advanced command of concepts and procedures

Ability to interact with senior front office personnel and confidence to uphold Compliance positions under pressure

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