Compliance Analyst (Control Room ,Big 4 welcome )

Key Responsibilities:

• Maintain and update the control room operation process
• Conduct regulatory filings, trade surveillance and trade minotoring
• Provide clearance for research reports, pre-deal research reports, marketing and roadshow materials
• Provide compliance advice on licensing, staff dealing and other compliance review & projects
• Maintain Information Barrier Designations to reflect staff respective access rights

Job Requirements:

• Bachelor degree in Finance, Accounting quantitative finance, risk, or related studies
• 3-5 years of relevant experience in the financial services industry
• Familiar with VBA/SQL/Python/Linux skills
• Fluent in English and Chinese