Research Compliance - up to 70K HKD p/m - contract

Job Title: Research Compliance - up to 70K HKD p/m - contract
Contract Type: Contract
Location: Hong Kong
Industry: Financial Services
Salary: Negotiable
Reference: JN -012021-455285
Contact Name: Kate Kulmee
Job Published: January 06, 2021 12:47

Job description


  • Provide day-to-day advisory on a wide range of research-related matters
  • Handle interactions between Research Analysts and the Investment Banking and Capital Markets business (IBCM)
  • Advisory in relation to pre-deal research and pre-deal investor education (PDIE) in the context of IBCM IPO mandates
  • Handle regulatory enquiries, audit, desk reviews, preparation of various compliance risk assessment exercises, compiling MI, etc.
  • Advisory in relation to regulatory change management, and implementation of regulatory developments
  • Drafting and reviewing compliance policies and procedures


  • 1 to 5 years of working experience in a regulatory, legal or compliance role in the banking/ securities/ financial services industry
  • Research, Investment Banking, Equities and/or Control Room compliance or legal experience is preferred
  • Ability to work under pressure without compromising quality

Argyll Scott Asia is acting as an Employment Business in relation to this vacancy.