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Research Compliance - up to 70K HKD p/m - contract

Job title: Research Compliance - up to 70K HKD p/m - contract
Job type: Contract
Location: Hong Kong
Sector: Financial Services
Salary: Negotiable
Job ref: JN -012021-455285
Contact: Kate Kulmee
Published: January 06, 2021 04:47

Job description

Responsibilities:

  • Provide day-to-day advisory on a wide range of research-related matters
  • Handle interactions between Research Analysts and the Investment Banking and Capital Markets business (IBCM)
  • Advisory in relation to pre-deal research and pre-deal investor education (PDIE) in the context of IBCM IPO mandates
  • Handle regulatory enquiries, audit, desk reviews, preparation of various compliance risk assessment exercises, compiling MI, etc.
  • Advisory in relation to regulatory change management, and implementation of regulatory developments
  • Drafting and reviewing compliance policies and procedures

Requirements:

  • 1 to 5 years of working experience in a regulatory, legal or compliance role in the banking/ securities/ financial services industry
  • Research, Investment Banking, Equities and/or Control Room compliance or legal experience is preferred
  • Ability to work under pressure without compromising quality

Argyll Scott Asia is acting as an Employment Business in relation to this vacancy.