About the role
FinEx AI summary
Provides compliance coverage for investment banking, capital markets, and research activities conducted from Hong Kong, reporting to the Head of Primary Markets Compliance. Responsibilities include regulatory advice, policy maintenance, desk reviews, control room operations and advisory, research report review, and compliance training.
Core skills
Regulatory ComplianceInvestment Banking ComplianceCapital Markets ComplianceResearch ComplianceControl Room OperationsCompliance Advisory