Control room - investment bank

Join the Compliance team at a leading financial institution, recognized as a dominant player in cross-border capital markets across Mainland China and Asia-Pacific.

Key Responsibilities:

• Perform control room functions and manage matters related to the Chinese Wall.
• Manage regulatory surveys and questionnaires, including Business and Risk Management questionnaire.
• Conduct compliance review and recommend corrective solutions for identified deficiencies.
• Conduct periodic and ad hoc reviews of internal policies and operational procedures in alignment with the evolving regulatory environment.
• Liaise and collaborate closely with stakeholders to implement compliance-related projects.
• Deliver ongoing internal training on compliance matters.
• Assist in handling requests, inquiries and examinations from regulators as needed.
• Execute ad-hoc tasks and projects as needed.

Job Requirements:

• Master or Bachelor’s degree in Law, Regulatory Compliance, Accounting, Finance, Business Administration, or a related field.
• 2 years or above of demonstrated experience in primary capital markets compliance or control room.
• Practical experience or strong familiarity with AI/automation tools used in compliance is highly preferred.
• Strong analytical mindset with a curiosity for leveraging technology and data to solve compliance challenges
• Self-motivated with the ability to work both independently and collaboratively in a dynamic environment, demonstrating a strong sense of responsibility.
• Proven career progression reflecting long-term commitment.
• Proficient in written and spoken Mandarin, Cantonese and English.