RESEARCH COMPLIANCE
Responsible for maintaining Chinese Wall policy designed to control information flow by separating public-side personnel from private-side personnel. Assist in maintaining a database to keep track of public- and private-side classifications. Assist with all aspects of research compliance functions, ranging from the implementation of policies in relation to the Chinese Walls procedures, conflicts of interest, and research business. Review and approve research publication to ensure compliance with relevant laws and regulations, in particular relevant securities laws. Review research guidelines and discuss with underwriters’ counsel as needed. Conduct conflicts review of all major global banking transaction, and discuss with businesses to identify mitigants. Maintain extensive telephone contact with bankers on the progression of their transactions in order to manage research restrictions. Ascertain if research restrictions is required as a matter of law or as a matter of policy. Maintain accurate logs that summarizing research’s involvement in banking transactions. Participate in business calls to advise on and monitor business activities. Create and conduct presentations and training sessions. Provide ad-hoc advisory services to the business to address and implement research independence policies, including drafting procedures and training relevant business groups.
To qualify, you will be a degree holder with a minimum of 5 years relevant experience. Legal training or regulatory experience preferred. Strong communication skills. Experience working within a control role and familiarity with corporate securities laws and regulations is preferred. Thoroughness and a strong attention to detail. Ability to work under pressure and to multi-task. Ability to interface with businesses.
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 eFC2156.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)
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