RESEARCH COMPLIANCE – VP / SVP recruitment
You will ensure that all research products are published in accordance with applicable rules and regulations as well as comply with research guidelines for pre-deal research. This will include reviewing and approving the publication of pre-deal research reports of issuers with imminent origination transactions and related investor education process. You will also advise Research and Origination Departments on research independence related issues as well as acting as chaperone for communications between Research and Origination and review information flow between the two departments. Lastly, you will liaise with in-house Research, Origination and Underwriters’ counsels on various issues of research reports as well as execute wall crossings of Research analysts.
To qualify for the position, you should be a University graduate with a minimum of 8 years compliance experience. Sound regulatory knowledge. Good communication and interpersonal skills. Mature and independent.
Interested applicants should send a detailed resume to Michelle Ho by email to mho@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC1968.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)