Assistant Vice President/Associate — Compliance Officer recruitment
RESPONSIBILITIES
· Responsible for day-to-day operation of the Asia Control Room and Research Compliance, including but not limited to wall-crossing, maintenance of grey and restricted lists, ongoing and pre-deal research clearance, dealing restrictions, information barriers, MNPI
· Advising Research/Investment Banking/Capital Markets on research independence issues
· Working with Legal and External Counsel on transactional research issues
· Advising Research Management on research-related regulatory issues in Asia Pacific
· Reviewing publication of all ongoing and pre-deal research for Asia Pacific, and to chaperone communications where required
· Working together with other LOB compliance on all control room matters (e.g. Information Barriers, MNPI, sales and trading) that would impact them
· Maintaining the Firm's Grey and Restricted Lists;
· Approving advertising, press releases and contacts with media to ensure conformity with applicable regulations and identify and escalate any potential conflicts.
Skills
ESSENTIAL SKILLS/EXPERIENCE
· Experienced in Control Room and Research Compliance
· Knowledge on Control Room and Research Compliance issues
· Excellent communication skills with LOBs
· Team player
· Self-motivated and proactive