Overview

The overall responsibility of APAC Research Compliance is to ensure compliance with regulations, policies and procedures that are applicable on the Global Research business in APAC.

Specifically, the role’s primary responsibilities include the four areas below:

Research Compliance advisory

  • Develop effective working relations with APAC Research management and other stakeholders.
  • Provide guidance and analysis on new Research business initiatives within APAC.
  • Managing requests and issues raised by Global Research according to internal policies and procedures.
  • Regulatory and policy management
  • Manage APAC regulatory changes that have implications on the Research business.
  • Take the lead and co-coordinating with respective Country Compliance colleagues for local regulatory input on Global Research policies.
  • Participate in the reviewing of Research Compliance policies and ensuring it’s consistent with global and local regulatory practices.
  • Assist in creating and implementing additional processes to address regulatory changes and expectations.
  • Investigate regulatory issues and breaches, advise Research management and liaise with internal legal counsel with respect to such issues.
  • Assist in handling regulatory enquiries.

Implementation of the Compliance Risk Programme

  • Assist with the development of Monitoring & Testing items for the APAC Research Compliance Program from a local and global perspective.
  • Identify the risks involved in Global Research business activities and conduct focused/thematic reviews on the Global Research business in APAC.
  • Manage and work alongside APAC Research Management and other stakeholders in managing issues identified in testing, monitoring and thematic reviews.
  • Conduct compliance risk assessment on Global Research business.
  • Manage Research internal audits from Compliance’s perspective.
  • Other day-to-day routine activities
  • Chaperone internal communications between Investment Banking and Research in accordance with the US Research Settlement and internal policies.
  • Conduct internal Compliance training to the APAC Research team.
  • Managing pre-deal research-related activities
    • Assist Research Management in a robust vetting process for capital markets transactions.
    • Provide guidance, review and approve pre-deal research in APAC. This involves liaising with Research Management, the vetting Research Analyst, Research Editors & Supervisory Analyst and internal & external legal counsels.

Key Requirements

  • Minimum 5 years of relevant Investment Banking & Capital Markets Compliance experience. In addition to the specific Investment Banking and Capital Markets Compliance experience, relevant working experience in HKMA and SFC is preferred.
  • The candidate needs to demonstrate good knowledge and experience in dealing with various regulatory framework in various jurisdictions in APAC
  • Bachelor’s Degree or Equivalent experience

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