Research Compliance Advisory - AVP to VP level
Banking Company
Hong Kong, Hong Kong
5天前

Description Responsibilities : Develop effective working relations with APAC Research Business and other stakeholders Provide guidance and analysis on new Research business initiatives within APAC Manage requests and issues raised by Global Research according to internal policies and procedures Manage APAC regulatory changes that have implications on the Research business Chaperone internal communications between Investment Banking and Research in accordance with the US Research Settlement and internal policies Conduct internal Compliance training to the APAC Research team Manage pre-

deal research-related activities Provide guidance, review and approve pre-deal research in APAC The Successful Candidate : Bachelor's Degree in accounting, finance or legal Minimum 4-

8 years of relevant experience either in a research compliance, control room, IBD compliance, compliance testing, or trade surveillance Good knowledge and experience in dealing with various regulatory framework in various jurisdictions in APAC Strong presentation and communication skills in English Country Hong Kong Company Banking Company Salary US$120,000 -

US$130,000 Working Hours Full-Time Contract Permanent Categories Compliance / AML Industries

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