Control Room Specialist

A leading global financial institution in Hong Kong is seeking a dedicated Control Room Specialist to join their highly respected compliance team.

What you'll do:

As a Control Room Specialist based in Hong Kong, you will immerse yourself in a dynamic environment where your responsibilities span coordinating wall-crossing events, maintaining meticulous records of sensitive information flows, liaising with multiple teams on transaction protocols, monitoring global regulatory restrictions, and supporting surveillance efforts. Your day-to-day work will involve handling large datasets using industry-leading tools like SQL, Python, Tableau, or Power BI to deliver actionable insights for real-time decision-making. You will review trade and communication data as part of ongoing surveillance activities while assisting in the development of triggers that help detect potential breaches. Success in this role requires an unwavering commitment to compliance standards, exceptional organisational skills, and the ability to collaborate effectively with colleagues across departments. Your contributions will directly support the integrity of the firm’s operations while enhancing its reputation for responsible market activity.

• Coordinate wall-crossing events by managing deal-related MNPI and strategic transactions with precision and care, ensuring all protocols are followed accurately.
• Maintain comprehensive records of wall-crossed individuals and monitor information flow diligently to uphold strict compliance standards.
• Liaise effectively with front office, legal, and deal teams to facilitate transaction protocols and timing, fostering strong interdepartmental relationships.
• Monitor global regulatory short sale restrictions consistently to guarantee firm-wide adherence to evolving regulations.
• Assist in developing and refining control room surveillance triggers that detect potential breaches in MNPI usage or restricted trading activities.
• Review trade and communication data thoroughly as required for ongoing surveillance or regulatory inquiries, demonstrating attention to detail.
• Handle large datasets across internal systems and external feeds such as regulatory data and exchange feeds with efficiency and accuracy.
• Utilise tools including SQL, Python, Tableau, or Power BI for sophisticated data analysis and reporting tasks.
• Support real-time decision-making processes by providing timely insights from data analysis and compliance monitoring activities.

What you bring:

To excel as a Control Room Specialist in Hong Kong, you will draw upon your proven experience within compliance or control room environments at financial institutions. Your academic background equips you with foundational knowledge while your technical expertise in SQL, Excel, database management, UAT testing, and visualisation platforms allows you to manage complex datasets seamlessly. You demonstrate strong interpersonal abilities when collaborating with cross-functional teams on transaction protocols or regulatory matters. Your attention to detail is evident in your approach to record-keeping and reviewing trade communications. If you possess Mandarin language skills this will further enhance your effectiveness within an international context. Above all else, your commitment to upholding high standards of regulatory compliance makes you an invaluable asset to the team.

• Bachelor’s degree is required for this position as it demonstrates your academic foundation relevant to financial services.
• You bring 3 – 7+ years of experience in a similar role within compliance or control room functions in financial institutions, open to candidates with regulatory reporting experience
• Your proficiency with SQL enables you to manage complex datasets efficiently for analysis and reporting purposes.
• Advanced Excel skills allow you to manipulate data accurately for compliance monitoring activities.
• Experience with database management ensures you can handle large volumes of information securely and reliably.
• UAT testing experience is highly valued as it supports system enhancements for surveillance triggers and data integration.
• Mandarin language skills are preferable but not essential; they would enhance your ability to communicate across diverse teams.
• Familiarity with visualisation platforms such as Tableau or Power BI empowers you to present findings clearly for stakeholders.
• Your interpersonal skills foster collaborative relationships with colleagues from front office, legal, and deal teams.
• Attention to detail ensures accurate record-keeping and thorough review of trade communications during surveillance.