Vice President, Control Room Compliance & AML

Hong Kong Island Permanent
  • Hybrid working mode
  • Good work life balance, excellent working culture

About Our Client

Our client is a leading global securities and asset management firm with huge presence in Greater China. If you are seeking a strategic opportunity with plenty of remit, do not hesitate to look further!

Job Description

Role: VP, AML & Control Room

Location: Hong Kong

Salary: Competitive base salary with excellent annual bonus

Reporting to: Head of Compliance


  • Developing Control Room policies and procedures
  • Maintenance of the Watch, Grey and Restricted Lists
  • Control of the central compliance inbox and replying to mails
  • Coordinating and approving wall crossings
  • Monitor private investment transactions and recording the review findings
  • Maintaining the accuracy and completeness of the list of trading restrictions
  • Evaluating waivers on post trade market abuse and sanctions alerts
  • AML review and surveillance

The Successful Applicant

  • Experience commensurate with a mid / senior role, gained within the Control Room and/ or AML departments of an investment bank.
  • Knowledge and understanding in relation to the HK Securities Rules, the Market Abuse Regime and rules and principles relating to the independence of research.
  • Good understanding of AML rules and guidelines set by the SFC
  • Must be able communicate in both English and Chinese (Mandarin and Cantonese)

What's on Offer

Great working environment

Good benefits

Jeremy Lam
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Job summary

Operational & General Management
Operational & General Management Subsector
Financial Services
Hong Kong Island
Contract type
Consultant name
Jeremy Lam
Job reference

About Page Executive

Page Executive are inclusive Recruiters and Hirers, as reflected in our Clear Assured Gold Standard Accreditation from the Clear Company. We are passionate about attracting diverse talent and are committed to ensuring our processes are inclusive and supportive.