Job Description

• Support the Control Room Head in implementing the control room strategy and upholding applicable compliance standards.
• Identify, assess, and manage perceived or actual conflicts of interest by reviewing transactions, deal teams, outside business interests, research, and gifts or entertainment.
• Investigate escalated conflicts and align resolution strategies with senior stakeholders across the business.
• Assist to develop and enforce Control Room policies, procedures, and service level standards, ensuring compliance with global regulatory requirements and best practices.
• Continuously monitor regulatory changes and update internal practices to reflect evolving compliance obligations.
• Ensure strict adherence to Chinese Wall protocols and safeguard against unauthorised sharing of material non-public information (MNPI).
• Review and approve barrier-crossing requests and chaperone sensitive communications between private and public sides where needed.
• Monitor and maintain watch and restricted lists, ensuring timely updates and accuracy to protect market integrity.
• Provide proactive compliance advisory to internal stakeholders and cross-functional teams on MNPI handling, conflict mitigation, and Control Room processes.
• Influence internal stakeholders across the bank to embed compliance culture and resolve high-impact ethical issues.
• Conduct investigations into suspected policy breaches, insider dealing, or market abuse, collaborating with legal and risk teams to ensure thorough reviews.
• Compile incident reports and regulatory disclosures as required.
• Assist to prepare risk and compliance reports to management, highlighting trends, control effectiveness, and emerging risks.
• Support regulatory audits and inspections with relevant documentation and analysis.
• Design and deliver compliance training initiatives to elevate staff awareness of Control Room protocols and regulatory duties.
• Promote ethical conduct and innovation by leveraging technology and data analytics in monitoring, reporting, and operational effectiveness.
• Foster strong partnerships across compliance, risk, legal, and governance functions to address complex challenges efficiently.
• Support operational consistency and quality across jurisdictions, enhancing the resilience of Control Room functions.

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Important Closing Date Note

Take note that applications will not be accepted on the below date and onwards, kindly submit applications ahead of the closing date indicated below.