Compliance Specialist, Control Room
Core
Own and grow the control room function to decide when to stop trading names due to wall crossings, sanctions, or regulatory concerns.
Role type
Senior IC compliance specialist (control room)
Builds
Trading restrictions and compliance processes for the Asia trading business
Domain
Financial services, Capital Markets, Sanctions & Regulatory Compliance
Required skills
Control room operations, Wall crossing management, Information barriers, Sanctions monitoring, Policy development, Regulatory framework knowledge (APAC/HK/China), Time-sensitive decision making
Preferred skills
Capital markets compliance experience, Surveillance review experience, Clean room arrangements
Technologies
N/A
Responsibilities
Run day-to-day restriction processes end-to-end, Advise traders and business teams on restrictions, Own and update policies and procedures, Handle sanctions and government-driven trading restrictions, Support surveillance and information barrier arrangements
Seniority
Senior, hands-on IC