Compliance Specialist, Control Room

The role

The Compliance Specialist will own and grow the control room function in Hong Kong. This person will manage trading restrictions, advise teams on compliance requirements, and handle sanctions and regulatory concerns.

What you will do

• Run day-to-day restriction processes end-to-end
• Evaluate the scope of affected names
• Apply and lift restrictions
• Perform record keeping
• Advise traders and the Business Development team on restrictions
• Own policies and procedures for business lines and processes
• Handle sanctions and government-driven trading restrictions
• Monitor changes in sanctions regimes
• Support surveillance, look-back reviews, and information barrier and clean room arrangements
• Build and evolve the control room function

Required qualifications

• 7+ years of compliance experience at a financial institution
• Meaningful time in a control room or capital markets compliance or equivalent restricted list function
• High degree of familiarity with wall crossings, information barriers and MNPI controls work in practice
• Comfortable making judgment or escalation calls under time pressure
• Strong written communicator to produce policy and procedure documentation
• Strong verbal communicator to liaise with traders
• Familiar with APAC regulatory frameworks (Hong Kong and China especially)
• Familiar with sanctions regimes affecting global trading
• Fluent in English

About the company

Jane Street is a trading business in Asia that is growing quickly.