Overview
Our client, a leading global investment bank, is seeking a highly experienced compliance professional to join their Asia-Pacific team as Vice President - Control Room & Research Compliance. This is a strategic role responsible for managing information barriers and ensuring regulatory compliance across investment banking and research activities.
Key Responsibilities
- Lead the Control Room function across Asia, including oversight of Watch and Restricted Lists, wall-crossing procedures, and conflict management.
- Ensure compliance with regional and global regulations governing research publication, including pre-clearance, disclosures, and analyst interactions.
- Act as a trusted advisor to front office teams on matters involving material non-public information (MNPI) and deal confidentiality.
- Collaborate with global compliance teams to align policies and procedures across jurisdictions.
- Monitor regulatory developments and industry trends, and contribute to policy enhancements and training initiatives.
- Deliver targeted compliance training and awareness programs to relevant business units.
Candidate Profile
- Minimum 5 years of experience in compliance, legal, or control room roles within investment banking or financial services.
- Strong knowledge of APAC regulatory frameworks (e.g., SFC, MAS, JFSA) and familiarity with global standards (e.g., SEC, FINRA, FCA).
- Proven ability to manage sensitive information and complex conflict scenarios.
- Excellent communication, stakeholder engagement, and analytical skills.
- Bachelor's degree required; legal or compliance certifications are a plus.
- Experience working in a global, matrixed organization is preferred.
