Research Compliance – Leading Investment Bank
Ashford Benjamin Ltd
Hong Kong, Hong Kong

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
  • 报告这项工作

    Thank you for reporting this job!

    Your feedback will help us improve the quality of our services.

    通過點擊“持續”,我允許neuvoo同意處理我的數據並向我發送電子郵件提醒,詳見neuvoo的 隱私政策 。我可以隨時撤回我的同意或退訂。