Senior Compliance Officer. Equity Research Advisory
Standard / Permanent
HK-Hong Kong (HK)-Hong Kong
- Provide compliance advise to equity research department
- Handle equity research related compliance tasks
- Handle pre-deal research publication process
- Prepare different periodic reports to business
- Provide compliance clearance on research products and ensure that all publications of research comply with firm policies and applicable legal provisions.
- Provide training to equity research department
- Good communication and interpersonal skills with ability to build good working relationships with different business, management and other functions
- Ability to work through tasks systematically and monitor own work to ensure consistency and timeliness.
- Ability to learn and understand applicable regulatory rules and regulations and industry best practices.
- Ability and strong desire to work as part of an effective and collaborative team.
- Effective written communication skills for report writing and analysis.
- Responsible, thorough, professional and high regard for accuracy and quality
- Attention to detail, efficient and strong administration / organization skills
- Able to work under pressure
- Willing to work flexible hours
Specific Qualifications Required
- 5 years of research advisory compliance experience
- Bachelor’s degree or equivalent in Finance, Law or related subject
- Previous experience with international banks or financial institution is an advantage