Senior Research Compliance Officer - Team Lead
Credit Suisse
Hong Kong, Hong Kong, Hongkong
14小时前

We Offer

Lead the Credit Suisse APAC Research Compliance team, based in Hong Kong. Play a lead role in overseeing the compliance program for the APAC Equity Research business.

Provide day-to-day compliance advisory services to the Credit Suisse APAC Division on research-related matters. Coordinate closely with global and APAC country compliance colleagues in ensuring appropriate and consistent development, implementation, and application of the Firm's research related policies and procedures.

Key tasks include :

  • Day-to-day advisory on a wide range of research-related matters
  • Handling interactions between Research Analysts and the Investment Banking and Capital Markets business (IBCM), including vetting requests, requests for deal-
  • related and sector discussions, chaperoning

  • Advisory in relation to pre-deal research and pre-deal investor education (PDIE) in the context of IBCM IPO mandates; compliance review of PDIE reports
  • Advisory in relation to distribution of research reports to clients
  • Advisory in relation to engagement of experts by research analysts
  • Handling regulatory enquiries, audit, desk reviews, preparation of various compliance risk assessment exercises, compiling MI, etc
  • Advisory in relation to regulatory change management, and implementation of regulatory developments
  • Drafting and reviewing compliance policies and procedures
  • Handling G&E queries in conjunction with compliance G&E SMEs
  • Monitoring and surveillance of research activities and research analysts
  • In conjunction with other compliance colleagues, scoping and advising on monitoring and testing activities
  • Preparing and delivering new joiner, annual refresher, and ad hoc training
  • Oversee and manage specific legal and compliance projects from a Research Compliance perspective
  • You Offer

  • Bachelor’s degree (or equivalent) plus at least 7 years’ experience working in a regulatory, legal or compliance role in the banking / securities / financial services industry
  • Research, Investment Banking, Equities and / or Control Room compliance or legal experience preferred
  • Ability to think strategically and independently; excellent project management, prioritization and organizational skills
  • Flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting deadlines.
  • Extremely detailed oriented, with strong follow up

  • Strong interpersonal, negotiation and influencing skills, with the ability to establish credibility and strong partnership with business colleagues and senior business managers
  • Proven people management skills, drive and a passion to succeed
  • Ability to work under pressure without compromising quality
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