Research Compliance – Leading Investment Bank
Ashford Benjamin Ltd
Hong Kong
5天前

Posted by : Vivian Chen Associate Director View profile & contact We are partnering with a leading investment bank who's keen to engage with compliance professionals with solid experience in research compliance.

Job Description

  • Day-to-day advisory on a wide range of research-related matters
  • Implement the research compliance policies and procedures
  • Identify and advise the research businesses on new or changes to existing laws, regulations and anticipated areas of regulatory focus
  • Advise and review on research materials
  • Provide training materials and deliver relevant training
  • Requirements

  • Minimum 3 years' relevant experience in investment bank / research compliance
  • A good team player to work with various departments in result delivery
  • Solid understanding of relevant industry and regional regulations and rules, pre-marketing, information barriers, conflict clearance process and an understanding of the Control Group function
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