Compliance, Control Room, Vice President, Hong Kong

The Control Room, part of Global Compliance, is seeking a compliance officer for a role in Hong Kong. The Control Room is primarily responsible for preserving the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between the Firm's private/advisory side businesses (e.

g., Global Banking & Markets Private, and Asset Wealth Management Private, Finance and Risk) and public side businesses (e.g., Global Banking & Markets Public, Asset Wealth Management Public and Global Investment Research). Additionally, the Control Room is tasked with staying close to banking transactions to ensure that all legal and policy restrictions are activated in a timely manner, as well as advising the business areas at the firm dealing with trading and research as to the applicability of those restrictions.