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Director, Head of Control Room, Enterprise Area of Coverage - Compliance, Asia Pacific

HONG KONG ISLAND, , Hong Kong

Job Description:

Your background

  • Seasoned Control Room professional with experience and a proven track record of leading, managing, and mentoring a team of professionals across multiple regions. You will have demonstrable expertise in team management skills alongside strong technical expertise and know-how on Control Room operations.
  • University Graduate level or above.
  • The role with interface across front line business in Equities, Banking, FICC, Research and Technology as well as Legal and Compliance partners across the Asia Pacific and Global regions. An appreciation and ability to articulate current issues relating to the Control Room and an ability to work towards their resolution would be advantageous.
  • Experience of participating in and managing Control Room shifts and an understanding of the types of daily issues such shifts may experience would be advantageous.
  • Strong English language communication skills preferred. Frequent interaction with local, regional and global teams is required.

What you can expect

This is an exciting opportunity for a solutions-orientated experienced Control Room manager to actively engage in team management and shape the team and Control Room policy regionally and globally. You will provide leadership and mentorship to the Asia Pacific Control Room team across the two regions of Japan and Hong Kong. The Control Room is a global operation and you will be part of a dynamic and forward looking global team and be able to actively participate in a wide array of activities such as global policy development, technology project planning and rollout, whilst actively partnering with local business partners to work on daily issues and participate in training to front-line businesses on Control Room issues. You will represent the Control Room at various business and Compliance management forums to present and discuss Control Room matters.

What you will do

  • Lead, manage, and mentor the Control Room teams in Japan and Hong Kong and be the escalation point on daily operational matters.
  • Represent the Control Room on Business and Compliance management forums.
  • Actively participate in daily operations for the Control Room ranging from Watch and Restricted List maintenance, research report and conference participation clearance and review, trade pre-clearance, wall crossing management, and handling surveillance escalations as well as ad-hoc requests from Legal, Compliance, and audit partners.
  • As the regional test owner for the Information Barrier Surveillance Control Room tests, actively engage with the monitoring and surveillance team on escalation findings, technology developments, and regular review on test effectiveness and parameters.
  • Participate in Control Room technology project planning, execution and discussions throughout.
  • Perform quality reviews for the region and coordinate and manage the team,’s quality review tasks each month.

About Bank of America

Our purpose as a firm is to make financial lives better, through the power of every connection. Across the world, we partner with leading corporate and institutional investors through our offices in more than 35 countries. In the U.S. alone, we serve almost all of the Fortune 500 companies and approximately 67 million consumer and small-business clients. We provide a full suite of financial products and services, from banking and investments to asset and risk management. We cover a broad range of asset classes, making us a global leader in corporate and investment banking, sales and trading.

Connecting Asia Pacific to the world

Our Asia Pacific team is spread across 19 cities in 12 markets. We are focused on connecting Asia to the world and the world to Asia, using our global expertise to ensure success is shared between us, our clients and our communities. Our regional footprint covers 12 currencies, more than a dozen languages and five time zones, placing us firmly among the region’s leading financial services companies.

Job Band:

H4

Shift: 

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

Your background

  • Seasoned Control Room professional with experience and a proven track record of leading, managing, and mentoring a team of professionals across multiple regions. You will have demonstrable expertise in team management skills alongside strong technical expertise and know-how on Control Room operations.
  • University Graduate level or above.
  • The role with interface across front line business in Equities, Banking, FICC, Research and Technology as well as Legal and Compliance partners across the Asia Pacific and Global regions. An appreciation and ability to articulate current issues relating to the Control Room and an ability to work towards their resolution would be advantageous.
  • Experience of participating in and managing Control Room shifts and an understanding of the types of daily issues such shifts may experience would be advantageous.
  • Strong English language communication skills preferred. Frequent interaction with local, regional and global teams is required.

What you can expect

This is an exciting opportunity for a solutions-orientated experienced Control Room manager to actively engage in team management and shape the team and Control Room policy regionally and globally. You will provide leadership and mentorship to the Asia Pacific Control Room team across the two regions of Japan and Hong Kong. The Control Room is a global operation and you will be part of a dynamic and forward looking global team and be able to actively participate in a wide array of activities such as global policy development, technology project planning and rollout, whilst actively partnering with local business partners to work on daily issues and participate in training to front-line businesses on Control Room issues. You will represent the Control Room at various business and Compliance management forums to present and discuss Control Room matters.

What you will do

  • Lead, manage, and mentor the Control Room teams in Japan and Hong Kong and be the escalation point on daily operational matters.
  • Represent the Control Room on Business and Compliance management forums.
  • Actively participate in daily operations for the Control Room ranging from Watch and Restricted List maintenance, research report and conference participation clearance and review, trade pre-clearance, wall crossing management, and handling surveillance escalations as well as ad-hoc requests from Legal, Compliance, and audit partners.
  • As the regional test owner for the Information Barrier Surveillance Control Room tests, actively engage with the monitoring and surveillance team on escalation findings, technology developments, and regular review on test effectiveness and parameters.
  • Participate in Control Room technology project planning, execution and discussions throughout.
  • Perform quality reviews for the region and coordinate and manage the team,’s quality review tasks each month.

About Bank of America

Our purpose as a firm is to make financial lives better, through the power of every connection. Across the world, we partner with leading corporate and institutional investors through our offices in more than 35 countries. In the U.S. alone, we serve almost all of the Fortune 500 companies and approximately 67 million consumer and small-business clients. We provide a full suite of financial products and services, from banking and investments to asset and risk management. We cover a broad range of asset classes, making us a global leader in corporate and investment banking, sales and trading.

Connecting Asia Pacific to the world

Our Asia Pacific team is spread across 19 cities in 12 markets. We are focused on connecting Asia to the world and the world to Asia, using our global expertise to ensure success is shared between us, our clients and our communities. Our regional footprint covers 12 currencies, more than a dozen languages and five time zones, placing us firmly among the region’s leading financial services companies.

Learn more about this role

Full time

JR-21056855

Band: H4

Manages People:

Manager:

Talent Acquisition Contact:

Mitesh Rathod

Referral Bonus:

0

Street Address

Primary Location:
2 QUEEN'S RD, HONG KONG ISLAND