Head of Control Room

A financial institution in Hong Kong seeks a Head of Control Room to enhance regulatory governance by shaping control room and compliance processes, driving ethical standards and cross-functional oversight across asset management operations.

Key responsibilities:

• Owns maintenance and governance of the Firm’s Watch List and Restricted List, ensuring effective information barrier controls
• Reviews and approves research reports to uphold regulatory standards and mitigate compliance risks
• Oversees “wall-crossing” processes, ensuring proper staff segregation and complete audit trail documentation
• Ensures robust conflict-of-interest checks are conducted for all potential deals and sensitive transactions
• Manages staff dealing approval workflow, including timely review, monitoring, and reconciliation of activities
• Drives delivery of compliance training programs to ensure timely, relevant, and organisation-wide regulatory awareness
• Acts as Secretariat to the Sponsor Due Diligence Review Committee and coordinates regulatory inspections, investigations, UCITS/SFC compliance, and ad hoc compliance projects

Candidate profile:

• Bachelor’s degree in Business, Accounting, Economics, Finance, or related discipline with 8+ years of compliance management experience, including Control Room and Asset Management exposure
• Strong understanding of regulatory frameworks with proven ability to assess risk, ensure compliance controls, and operate in a highly regulated environment
• Excellent analytical, interpersonal, and communication skills with experience influencing stakeholders and delivering clear presentations across functions
• Demonstrated ability to manage multiple priorities and projects effectively, with fluency in English, Cantonese, and Mandarin in a cross-border setting

About the company:

A regional financial services group provides investment, brokerage, and wealth management solutions with a strong track record in client service. It offers a collaborative, performance-driven environment focused on innovation, digital transformation, and long-term career growth.

Keywords: control room management, compliance processes, ethical standards, asset management operations, financial services

What’s next:

Step into a role where your expertise drives compliance excellence and shapes the future of trusted financial markets.