Research Compliance and Control room - Associate
Job Summary:
We are seeking a highly motivated and detail-oriented professional to join our Legal & Compliance team as a Research Compliance and Control Room Associate. This role is critical in maintaining the integrity of the bank's information barriers, managing conflicts of interest, and ensuring compliance with regulatory requirements across the APAC region.
Key Responsibilities:
Control Room Operations:
- Monitor and manage the firm's information barriers and wall-crossing procedures.
- Maintain and update watch lists and restricted lists in accordance with regulatory and internal policy requirements.
- Conduct conflict checks and provide clearance for investment banking and research activities.
- Review and approve internal and external communications, including research publications and deal announcements.
Research Compliance:
- Provide compliance advisory support to the Research division, ensuring adherence to global and local regulatory standards (e.g., SFC, HKEX).
- Review and approve research reports for compliance with disclosure and fair presentation standards.
- Monitor and enforce policies related to research analyst interactions with investment banking and sales & trading.
Regulatory & Policy Support:
- Assist in the development and implementation of compliance policies and procedures.
- Support internal audits, regulatory inquiries, and compliance testing.
- Deliver training and awareness programs on control room and research compliance topics.
Qualifications:
- Bachelor's degree in Law, Finance, Business, or a related field.
- 3-7 years of experience in a control room, research compliance, or regulatory advisory role within an investment bank or financial institution.
- Strong understanding of financial markets, investment banking activities, and regulatory frameworks (e.g., SFC, SEC, MiFID II).
- Excellent analytical, communication, and interpersonal skills.
- Fluency in English is required; Mandarin or Cantonese is a plus.
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your CV and details on file so when we see similar roles or see skillsets that drive growth in organisations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your cv so you can be considered for roles that have yet to be created.
Yes, we help with cv and interview preparation. From customised support on how to optimise your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.