Head of control room (top tier chinese securities firm)

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 Show More