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 Read more […]
March 4, 2012
• Tags: Assistant Vice President, Associate -- Compliance Officer recruitment, Compliance, Legal careers in the Hong Kong SAR • Posted in: Financial • Comments Off on Assistant Vice President/Associate — Compliance Officer recruitment