VP, Control Room Compliance

  • Excellent
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Sloane Shorey Consulting , EA Licence No: 17S8548
  • 06 Aug 18 2018-08-06

Control Room Compliance professional sought for the Asia Compliance Team of this Global Investment Bank. As a VP in compliance in Hong Kong, you will be the lead for Control Room Compliance matters across the region. The bank is seeking a dynamic individual with an IB compliance background who wants the challenge of a broad and important role but in a smaller environment with more work / life balance.

Control Room:

Control Room Compliance monitors the Firm's Information Barriers, helps to manage the Firm’s risks and avoid unintentional rule breaches and conflicts of interest. The team also advise on ethical conduct and governance issues and keeps the organization up-to-date on regulatory and political challenges. 


In this role, you will be performing day-to-day Control Room tasks, including:


  • Maintain the Firm's Watch and Restricted lists
  • Handle wall-crossing requests
  • Clearance of normal and pre-deal research
  • Monitoring, pre-approving and facilitation communications between Equity Research and Investment Banking staff
  • Chaperoning relevant Investment Banking/Equity Research communications
  • Imposing dealing restrictions
  • Designation of private/public side employee statuses
  • Advising Research/Investment Banking/Capital Markets on research independence issues
  • Ensuring appropriate conflict checks are undertaken ahead of new deals from private side business lines
  • Ensuring any conflicts of interest arising from private side activities are dealt with timely in accordance with the Conflicts of Interest Policy and are proactively reported, as appropriate
  • Working with Legal and external counsels on transactional pre-deal research issues
  • Conducting Information Barriers (public/private designation) review
  • Working together with other compliance officers on all Control Room matters (e.g. Information Barriers, sales and trading) impacting them
  • Providing training
  • Assessing relevant regulatory notices, rule changes and industry best practices and related business impact
  • Assisting with response to regulatory enquiries




  • Control Room Compliance Officer experience within a Global Investment Bank in Asia
  • Solid working knowledge of HK securities regulation.
  • Experience in dealing with compliance and regulatory matters of other Asia jurisdictions an advantage.
  • Experience in all aspects of Control Room activities, particularly regulations and best practices concerning information barriers
  • Knowledge of Investment Bank's Information Barriers, Watch and Restricted lists
  • Experience in reviewing and approving global equity research reports against Watch and Restricted lists
  • Knowledge of United States Securities 138/139 Safe Harbour requirements for publishing research
  • Previous experience of reviewing and approving pre-deal research and in enhancing research process from a Control Room perspective
  • Knowledge of Control Room compliance systems and Information Barrier system designation tools
  • Knowledge of the Conflict clearing process in a Global Investment Bank
  • University degree level with strong command of English (proficiency in Cantonese and Putonghua preferred)


This hiring firm is moving quickly with this hire. For more information, please apply today.


Sloane Shorey Consulting Limited, Hong Kong is a licensed Employment Agency. Licence number: 54879 | Sloane Shorey Consulting Pte Ltd, Singapore is a Ministry of Manpower approved EA. Licence number: 17S8548