A top brokerage / IB is currently looking for a VP in equity research compliance to join the compliance team.
- Provided compliance clearance on research reports, marketing and roadshow materials and other research products
- Provided compliance support to investment banking and capital market departments by clearing annalist's activities, reviewed pre-deal research reports, PDIE materials, report distribution list etc., and provided all necessary advices to the deal teams
- Provided ad-hoc compliance advices to firm's employees on research, employee trading and control room matters
- Providing advisory services on internal policies and procedures and other compliance related matters to business
- Bachelor degree holder or higher
- 7 years of relevant experience related to equity research or control room
- Good command of both Chinese and English (including spoken Mandarin)