Head of control room (top tier chinese securities firm)
Hays
Hong Kong
Full time
Permanent
On-site
Competitive
About the job
Your new company
You will be joining a well-established Chinese financial institution with a strong footprint across investment banking and asset management businesses. The organisation continues to expand its regional presence and is committed to maintaining robust governance, regulatory standards, and best-in-class compliance practices.
Your new role
As the Head of Control Room, you will lead the Control Room function and oversee firm-wide information barrier management and market conduct compliance across investment banking and asset management activities.
Key responsibilities include:
What you'll need to succeed
What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or share your profile to [email protected]
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.
You will be joining a well-established Chinese financial institution with a strong footprint across investment banking and asset management businesses. The organisation continues to expand its regional presence and is committed to maintaining robust governance, regulatory standards, and best-in-class compliance practices.
Your new role
As the Head of Control Room, you will lead the Control Room function and oversee firm-wide information barrier management and market conduct compliance across investment banking and asset management activities.
Key responsibilities include:
- Leading the Control Room team with responsibility for MNPI management, wall-crossing procedures, watch/restricted lists, and surveillance controls
- Advising front office, research, and investment teams on conflicts of interest, information barriers, and regulatory requirements
- Overseeing deal and transaction-related compliance, including private/public side transitions
- Managing policies and frameworks aligned with regional regulatory expectations (e.g., Hong Kong, broader APAC)
- Acting as a key point of contact for regulators, internal audit, and senior management on Control Room matters
- Driving enhancements to systems, controls, and governance processes to strengthen compliance oversight
What you'll need to succeed
- Extensive compliance experience within banking, with strong exposure to investment banking and asset management
- Proven leadership experience managing Control Room or market conduct functions
- Deep understanding of MNPI, information barriers, conflicts management, and regulatory frameworks in Asia-Pacific
- Strong stakeholder management skills with the ability to influence senior business leaders
- Experience interacting with regulators and managing audits or regulatory reviews
- Excellent analytical, communication, and problem-solving capabilities
What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or share your profile to [email protected]
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.