- 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
- 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.