Associate, Research Compliance and Control Room
- Hong Kong Island, Hong Kong
- Permanent
- Full-time
- Review research prior to publication and manage interactions between Research and industry experts.
- Maintain and review information barrier setups and procedures, and handle wall-crossing requests.
- Keep track of the watch lists and restricted lists.
- Assist with monitoring e-communications related to Research and Investment Banking.
- Handle conflict clearance for transactions and address any breaches.
- Provide training to analysts, update research disclosures, and monitor compliance with guidelines.
- Degree holder with at least 3 years of relevant experience in control room/ research compliance.
- Knowledge of investment banking and global markets products.
- Good command of written and spoken English and Chinese (including Putonghua).