The bank for a changing world

Senior Compliance Officer. Equity Research Advisory


Standard / Permanent


HK-Hong Kong (HK)-Hong Kong

Job function




Position Purpose
  • Provide compliance advise to equity research department
  • Handle equity research related compliance tasks

Key Responsibilities

  • 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

Competencies (Technical / Behavioural)
  • 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