Head of control room (top tier chinese securities firm)

Hays · Hong Kong

Job Description

Head of Control Room role overseeing IB & AM compliance, MNPI controls, market conduct, and regulatory liaison 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

Hays

Hong Kong

View other roles at Hays

20 roles at Hays on ExpatJobBoard

Apply

Similar Jobs

Money Laundering Reporting Officer (MLRO), Fintech (Digital Bank)

Hyphen Partners · Hong Kong

Finance & BankingOn SiteFull-time

Posted 15 days agoApply now

Head of control room (top tier chinese securities firm)

Job Description

Hays

Similar Jobs

Money Laundering Reporting Officer (MLRO), Fintech (Digital Bank)

Trading/Investment Compliance - Hedge Fund

Manager, Finance, Asia

Associate Director, Business Audit

Manager, Internal Audit (SG & HK)

Lead, FCC Control

Associate Director, Business Audit

Private Bank - Onboarding VP

Regulatory Reporting Project Manager

Tax & Corporate Compliance Analyst (US market)

SM/AD - Traded Risk and Treasury risk - Risk Consulting - Hong Kong

Software Engineer (Risk and Compliance)

HK Business lead / Senior Control Manager

Senior Manager/Manager, Risk Control (Market Risk)

Senior Credit Approver (Trade Finance Credit Insurance)

Senior IT Governance Manager (Financial Services)

AVP/VP, Operational Risk (Securities)

Manager, Credit Approval, PRC Corp

IT Governance Lead (Financial Services)

Global Head of Risk & Trading

Chief Control Officer, Hong Kong - HSBC Insurance

Head of Non Financial Risk, Funds Administration and Trustee, Asia

Senior Manager - Credit Risk (Regional Corporate Bank)

Vice President, Process Review & Optimization

AI Lead | Banking

Trading Risk – Digital Asset (APAC Remote)

Senior Trading Anti Fraud Specialist

APAC Business Continuity Manager

Senior Market Risk Manager - HongKong

Senior Quantitative Researcher, PM Engagement

Third Party Risk Transformation Manager | Bank

Business Analyst - Risk Management (ibank; $60-70k) | Hong Kong, HK | In-Office

Head of Financial & Enterprise Risk

Senior Manager, Credit Approval (SME)

Senior Business Analyst - Risk Reporting System (banking; $60-70k + bonus)

Vice President, Prime Risk APAC Analyst

Senior Manager, High Net Worth Case Management

VP, IT Business Analyst | HKD 90K - HKD 105K / mth | Renowned Financial services

Project Manager / Delivery Lead (Retail Banking Transformation)

GM Hong Kong (Growth-stage Fintech)

Technical Business Analyst

Director, Finance & Organisational Effectiveness

Senior Accountant | Investment Firm

Financial Controller, Fintech, 150k | Hong Kong, HK

Business Product Owner

Executive Director, Relationship Management (HNW & UHNW Clients) | Top-Tier Family Office

GM of Hong Kong office (Type4, 9 RO)

Head of Crypto Cards and Payments Product

Branch Manager (Ref: RO-BM)

Senior Trade Operations Lead

Join now to find your dream job in Hong Kong