VP Equity Research Compliance

Selby Jennings
Closing date
6 Jul 2021

Job Details

A top brokerage / IB is currently looking for a VP in equity research compliance to join the compliance team.

Job Descriptions
  • Provided compliance clearance on research reports, marketing and roadshow materials and other research products
  • Provided compliance support to investment banking and capital market departments by clearing annalist's activities, reviewed pre-deal research reports, PDIE materials, report distribution list etc., and provided all necessary advices to the deal teams
  • Provided ad-hoc compliance advices to firm's employees on research, employee trading and control room matters
  • Providing advisory services on internal policies and procedures and other compliance related matters to business

Job Requirements
  • Bachelor degree holder or higher
  • 7 years of relevant experience related to equity research or control room
  • Good command of both Chinese and English (including spoken Mandarin)

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