Job Summary:
Key Responsibilities:
Qualifications:
We are seeking a highly motivated and detail-oriented professional to join our Legal & Compliance team as a Research Compliance and Control Room Associate. This role is critical in maintaining the integrity of the bank's information barriers, managing conflicts of interest, and ensuring compliance with regulatory requirements across the APAC region.
Key Responsibilities:
Control Room Operations:
- Monitor and manage the firm's information barriers and wall-crossing procedures.
- Maintain and update watch lists and restricted lists in accordance with regulatory and internal policy requirements.
- Conduct conflict checks and provide clearance for investment banking and research activities.
- Review and approve internal and external communications, including research publications and deal announcements.
Research Compliance:
- Provide compliance advisory support to the Research division, ensuring adherence to global and local regulatory standards (e.g., SFC, HKEX).
- Review and approve research reports for compliance with disclosure and fair presentation standards.
- Monitor and enforce policies related to research analyst interactions with investment banking and sales & trading.
Regulatory & Policy Support:
- Assist in the development and implementation of compliance policies and procedures.
- Support internal audits, regulatory inquiries, and compliance testing.
- Deliver training and awareness programs on control room and research compliance topics.
Qualifications:
- Bachelor's degree in Law, Finance, Business, or a related field.
- 3-7 years of experience in a control room, research compliance, or regulatory advisory role within an investment bank or financial institution.
- Strong understanding of financial markets, investment banking activities, and regulatory frameworks (e.g., SFC, SEC, MiFID II).
- Excellent analytical, communication, and interpersonal skills.
- Fluency in English is required; Mandarin or Cantonese is a plus.
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