Job Title: AVP
Contract Type: Permanent
Location: Hong Kong
Reference: SR190311-01
Contact Name: Rika Shinohara
Contact Email:
Job Published: March 12, 2019 15:01

Job Description

AVP (Control Room Function) - Prestigious Japanese Securities firm


Our client, a renowned bank, is looking for a candidate for the Control Room Function.



  • Actively and independently handle control room matters, including the followings;

  1. Focus on control room operations processes;

  2. Help strengthen the administration of control room function;

  3. Handle MNPI/COI/Firewall reporting from business units;

  4. Provide relevant compliance advice to business and functional units;

  5. Manage the internal enforcement of Japanese related regulations including MNPI, COI and Firewall for monitoring purpose;

  6. Take active part in Global Control Room function;

  7. Maintain and monitor the restricted lists;

  8. Handle wall crossing applications

  9. Handle staff dealing matter and perform regular checking;

  10. Communicate with overseas office regarding MNPI/COI/Firewall matters in group-wide basis

  • Assist to review, update or comment on internal policies, manuals and procedures to ensure they comply with the local regulatory requirements;

  • Conduct compliance reviews, and performs ongoing monitoring of procedures, ensuring that regulations and company policies are adhered to;

  • Assist to review research reports/ commentaries from a regulatory perspective;

  • Assist in ad-hoc projects as assigned



  • Solid experience in Control Room / Operations Room;

  • Robust and solid understanding on relevant rules and regulations, including SFC’s Code of Conducts, relevant circulars and the industry practices applicable to Hong Kong licensed corporations on managing conflict of interest and internal controls in general;

  • Good command of spoken and written English and Chinese;

  • Understanding on the Firewall regulation concept is plus;

  • Familiar with Hong Kong regulatory issues and development will be an added advantage 


Interested candidates, please send your updated CV, preferably, including:

  • Current and expected salary

  • Availability

  • Reason for leaving current and past positions

to and

Thank you!

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