Research Compliance Officer
Credit Suisse
Hong Kong, Hong Kong
6天前

Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 different nations.

Embodying entrepreneurial spirit, Credit Suisse delivers holistic financial solutions to our clients, including innovative products and specially tailored advice.

Striving for quality and excellence in our work, we recognize and reward extraordinary performance among our employees, provide wide-ranging training and development opportunities, and benefit from a diverse range of perspectives to create value for our clients, shareholders and communities. We are Credit Suisse.

We Offer

Key member of the Credit Suisse APAC Research Compliance team, based in Hong Kong. Play a key role in the implementation of 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.

  • 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 specialists by research analysts
  • Handling regulatory enquiries, audit, desk reviews, preparation of various compliance risk assessment exercises
  • 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.
  • Your future colleagues

    You will be joining a collaborative team environment. We work closely together and enjoy encouraging innovative thought and solutions to challenging questions.

    We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the firm's D&I ambition which is an integral part of our global cultural values.

    You Offer

    N / A - pending TWWW agreement

    Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.

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