Research Compliance – Leading Investment Bank Research Compliance – Leading Investment Bank …

Ashford Benjamin Ltd
in Hong Kong
Permanent, Full time
Last application, 23 Nov 21
Competitive
Ashford Benjamin Ltd
in Hong Kong
Permanent, Full time
Last application, 23 Nov 21
Competitive
Posted by:
Vivian Chen • Associate Director
Posted by:
Vivian Chen
Associate Director
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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