VP Equity Research Compliance VP Equity Research Compliance …

Selby Jennings
in Rugby, England, United Kingdom
Permanent, Full time
Last application, 20 Sep 21
Negotiable
Selby Jennings
in Rugby, England, United Kingdom
Permanent, Full time
Last application, 20 Sep 21
Negotiable
A top brokerage / IB is currently looking for a VP in equity research compliance to join the compliance team.

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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