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Assistant Vice President / Vice President, EAC Compliance & Operational Risk Specialist

Hong Kong, HK

Job Description:

Your background

  • Good understanding of information barrier regulations and industry standards relevant to the functions of a Global Control Room.   Understand of local Takeover Panel Rules and Regulations.
  • Ability to work under pressure, calmly within tight deadlines and escalate appropriately.
  • Show initiative and react quickly to changes in priorities with the ability to quickly learn new procedures.
  • Professional approach with a clear and logical thought process and attention to detail. 
  • Demonstrate strong communication skills with the ability and confidence to discuss issues at a senior level.
  • Strong ability to develop and maintain good relationships within Compliance and the business. & nbsp;
  • Motivated and reliable, ability to work well and seamlessly within a team
  • Excellent organizational skills, able to prioritize daily tasks with project work as well as ad hoc requests. 

What you can expect

The Control Room is a critical team within Compliance and Operational Risk that maintains the Firm's Information Wall.  The team maintains the Watch and Restricted List, handles wall cross requests, trade pre-clearances, and research reviews.  The team supports a global team, and a follow the sun structure.

What you will do

  • Execution of the Global Compliance Policy and the Compliance Risk Standards as applicable for the Enterprise Information Wall Compliance Program;
  • Provide information wall subject matter expertise/advisory support to the lines of business and support partners;
  • Reviewing transactions for potential addition to the Watch List
  • Making additions to the Restricted List
  • Review  research reports prior to public dissemination of issuers on the Watch or Restricted List;
  • Facilitate and document wall crossings of public side employees;
  • Perform numerous reviews associated with timely notification to the Global Control Room of Watch and Restricted List updates and compliance with wall crossing procedures;
  • Perform trade preclearance against the firm’s Restricted List
  • Provide training and awareness to the lines of business and their support partners on information wall topics;
  • Review non-deal road-shows, presenters at GBAM Conferences, and Research Analyst conference calls against the Watch and Restricted Lists
  • Assist with all Monitoring & Testing requirements of the team
  • Contribute to global technology projects by providing system enhancement ideas and changes

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:

H5

Shift: 

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

Your background

  • Good understanding of information barrier regulations and industry standards relevant to the functions of a Global Control Room.   Understand of local Takeover Panel Rules and Regulations.
  • Ability to work under pressure, calmly within tight deadlines and escalate appropriately.
  • Show initiative and react quickly to changes in priorities with the ability to quickly learn new procedures.
  • Professional approach with a clear and logical thought process and attention to detail. 
  • Demonstrate strong communication skills with the ability and confidence to discuss issues at a senior level.
  • Strong ability to develop and maintain good relationships within Compliance and the business. & nbsp;
  • Motivated and reliable, ability to work well and seamlessly within a team
  • Excellent organizational skills, able to prioritize daily tasks with project work as well as ad hoc requests. 

What you can expect

The Control Room is a critical team within Compliance and Operational Risk that maintains the Firm's Information Wall.  The team maintains the Watch and Restricted List, handles wall cross requests, trade pre-clearances, and research reviews.  The team supports a global team, and a follow the sun structure.

What you will do

  • Execution of the Global Compliance Policy and the Compliance Risk Standards as applicable for the Enterprise Information Wall Compliance Program;
  • Provide information wall subject matter expertise/advisory support to the lines of business and support partners;
  • Reviewing transactions for potential addition to the Watch List
  • Making additions to the Restricted List
  • Review  research reports prior to public dissemination of issuers on the Watch or Restricted List;
  • Facilitate and document wall crossings of public side employees;
  • Perform numerous reviews associated with timely notification to the Global Control Room of Watch and Restricted List updates and compliance with wall crossing procedures;
  • Perform trade preclearance against the firm’s Restricted List
  • Provide training and awareness to the lines of business and their support partners on information wall topics;
  • Review non-deal road-shows, presenters at GBAM Conferences, and Research Analyst conference calls against the Watch and Restricted Lists
  • Assist with all Monitoring & Testing requirements of the team
  • Contribute to global technology projects by providing system enhancement ideas and changes

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-22039640

Band: H5

Manages People:

Manager:

Talent Acquisition Contact:

Mitesh Rathod

Referral Bonus:

0

Street Address

Primary Location:
51 KWAI CHEONG ROAD, Hong Kong