We are seeking an experienced Vice President to join our client's Control Room team in Hong Kong. This senior role is embedded within the Compliance function and plays a critical role in managing the flow of sensitive, material non-public information (MNPI) across the organisation, specifically in connection with the Investment Banking Division (IBD).
The successful candidate will be responsible for maintaining and enforcing the firm's information barrier policies, ensuring adherence to regulatory requirements, and safeguarding the integrity of confidential data. This includes the daily management of the Compliance Control Room’s core functions such as the maintenance of watchlists and restricted lists, review and approval of wall-crossing requests, and the development and enhancement of firm-wide information barrier procedures.
Key responsibilities:
- Oversee day-to-day operations of the Control Room in relation to IBD deal activity.
- Manage the firm's watchlist and restricted list process to support securities trading and advisory activities.
- Coordinate wall-crossing procedures and ensure proper documentation and approval processes are in place.
- Analyse and interpret regulatory requirements and guidelines to ensure continued compliance with local and global rules.
- Collaborate closely with Legal, Compliance, IBD and other internal stakeholders to manage conflicts of interest and the flow of MNPI.
- Support regulatory enquiries and audits by preparing and presenting relevant information relating to the Control Room's responsibilities.
- Participate in global projects and initiatives to streamline and enhance information barrier controls and compliance procedures.
- Develop and deliver periodic training programmes on information barrier policies to frontline business and corporate support staff.
Requirements:
- Bachelor’s degree or higher in Law, Finance, Business or a related field.
- Proven experience (typically 7+ years) in a Control Room, Compliance, or Legal function, ideally within an investment banking or financial services environment.
- Strong knowledge of investment banking products and deal processes including M&A, equity and debt capital markets transactions.
- Excellent understanding of global and regional regulatory frameworks in relation to information barriers and MNPI.
- Exceptional attention to detail and strong analytical, investigative and organisational skills.
- Strong communication and interpersonal skills, with the ability to liaise effectively with senior stakeholders across the organisation.
- Ability to work independently, manage competing priorities, and make sound judgments under pressure.
- High degree of integrity and professionalism, with a commitment to maintaining confidentiality and ethical standards.
