Research Compliance recruitment
In the role you will:Monitor relevant rules and regulations in the Asian regionAssist with the development and implementation of compliance policies and proceduresDevelop and deliver trainingConduct reviews to test compliance with policies and proceduresTo be successful you will have:5 years of relevant compliance experience gained from a similar roleExperience in investment research complianceSound knowledge of relevant regulations and compliance practices across Asia and ChinaStrong English communication skills (oral and written), fluency in Chinese would be helpful but not essentialFor more Read more […]
VP – Research Compliance recruitment
This position provides the genuine opportunity to gain broader compliance exposure and be heavily involved in projects, while maintaining a substantial level of visibility within the business. Our client has an unrivalled reputation in the market for providing their employees with a stimulating and collegial working environment. The key tasks will include, but are not limited to:Review and approve Equity Research;Draft and implement policies and procedures in line with SRO rules e.g. 2711, and regulatory developments;Chaperone research communication;Review Marketing and Sales MaterialYou will Read more […]