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Control Room Compliance - AVP

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Job Description

A new opportunity to work at an established global investment bank ensuring the integrity of the primary and secondary market businesses.

Roles/Responsibilities

  • Maintain the 'Chinese Wall' between the Investment Banking and Global Markets business lines, reviewing insider lists, wall crossings, etc...
  • Manage research clearance and publication.
  • Partner the business and advice them on the implications to control room from business decisions and support them with managing conflicts.
  • Review transaction conflicts in the context of decisions made by the firm, including lending, trading exposures and all positions.
  • Manage potential conflicts of interest that arise within the investment banking division.
  • Work on projects to develop governance and control around wall and conflict management.
  • Develop conflict management procedures around deal separation, transaction specific chinse walls and disclosures and consents.
  • This role is ideal for someone who is keen to work closely with both the IBD and Global Markets businesses and to understand the implications of certain transaction and market positions taking by the bank.

Required skills

  • Knowledge of global markets or investment banking division business lines.
  • Experience in Compliance, Legal Front Office, Operations or Risk Management.

Personal Attributes

  • Strong language skills in Japanese and English and a risk & control mindset.

About our client
A leading global corporate and investment bank with an established business in Japan.

Morgan McKinley Asia Pac is acting as an Employment Agency in relation to this vacancy.

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Consultant Details

Consultant Details

Steven Howden
Steven Howden
  • Director | Financial Services Recruitment