VP / Director - Investment Banking Compliance & Control Room

CLIENT BACKGROUND
Our client is a well-established financial institution with a growing presence in Asia, offering a broad platform across investment banking, capital markets, and asset management. With continued expansion in Hong Kong, the firm is strengthening its Compliance function and is seeking an experienced professional to serve as a senior advisor to the Investment Banking Division while overseeing key control room responsibilities. This is a strategic, high-visibility role suited for candidates who value stability, stakeholder engagement, and long-term career opportunities within a global financial group.

JOB RESPONSIBILITY
In this leadership role, you will act as a senior compliance advisor to the Investment Banking Division. Key responsibilities include:

Investment Banking Advisory

• Provide day-to-day compliance guidance to investment bankers on deal-related matters, regulatory expectations, and internal policies.
• Review proposed transactions and marketing materials to ensure alignment with applicable rules and ethical standards.
• Support the approval and oversight of research activities, deal processes, and information flows within the business.
• Work closely with front-office teams to proactively identify and mitigate regulatory risks associated with capital markets and advisory activities.

Control Room Oversight

• Manage monitoring of material non-public information (MNPI) and ensure robust information barrier controls.
• Oversee watchlist and restricted list maintenance, escalation, and governance.
• Coordinate wall-crossing procedures and documentation for sensitive transactions.
• Collaborate with global control room teams to ensure consistent and effective management of conflicts and information flows.

Governance & Regulatory Engagement

• Contribute to the development and enhancement of compliance policies and internal guidelines.
• Support regulatory inquiries and inspections, ensuring timely and accurate responses.
• Deliver training to front-office staff on relevant compliance topics, including conflicts, conduct, and regulatory developments.

JOB REQUIREMENTS

• Bachelor's degree or above, preferably in Law, Finance, Business, or related disciplines.
• Minimum 10 years of compliance experience within investment banking at top-tier financial institutions.
• Strong expertise in Investment Banking Division advisory, including M&A, ECM, DCM, and capital markets transactions.
• Solid exposure to control room operations, MNPI management, and conflicts controls.
• Proven ability to work with senior stakeholders, manage complex regulatory topics, and provide commercially grounded advice.
• Excellent communication skills, interpersonal awareness, and the ability to build trusted relationships across business lines.
• Stable career track record is highly preferred.
• Team management experience is preferred.