Research Compliance – Fintech Research Compliance – Fintech …

Ashford Benjamin Ltd
à Hong Kong
CDI, Plein-temps
Dernière candidature, 16 sept. 20
Competitive
Ashford Benjamin Ltd
à Hong Kong
CDI, Plein-temps
Dernière candidature, 16 sept. 20
Competitive
We are partnering with a start-up fintech with a solid founder team from bulge brackets, who’s keen to offer content platform dedicated to Global institutional equity investors. Our client is keen to engage with compliance professionals with solid experience in research compliance or sales and trading compliance

 

Job Description

  • Report directly to management, providing advise on equity sales & trading, research compliance matters
  • Day-to-day advisory on a wide range of research-related mattersImplement the risk methodology and calculation
  • Identify and advise the equity sales and trading as well as research businesses on new or changes to existing laws, regulations and anticipated areas of regulatory focus
  • Advise and review on research materials

 

Requirements

  • Minimum 3 years' relevant experience in equity sales and trading / research compliance
  • In-depth knowledge in regulatory requirements for equity sales and trading business
  • A good team player to work with various departments in result delivery
  • High proficiency in spoken / written skills in both English and Chinese (Mandarin)
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