Equity Compliance Trade Surveillance Associate

Job Description

A Prestigious Global Securities firm is actively looking for an experienced Compliance Officer to work in their Equities Business

Roles/Responsibilities

• Monitor Information Barriers between Investment Banking, Research, Sales and Trading personnel
• Review Research Reports for compliance with Regulatory Requirements and Internal Policies
• Monitor and enter Investment Bank assignments to maintain the Watch and Restricted Lists
• Chaperone communications between investment banking and research employees.
• Assist in Maintaining the Chinese walls and information barriers
• Assist in the oversight and maintenance of the firms watch and restricted lists and wall-crossing procedures
• Monitor and review firm trading surveillance

Required skill

• 2-3 years experience in control room or compliance Advisory
• PC and Database skills required

Preferred skill

• Previous control room experience
• English and Japanese competency
• Sound knowledge of research compliance regulations

Personal Attributes

• Analytical thinking
• Good communications skills