RESPONSIBILITIES AND QUALIFICATIONS

Business Supported: Global Investment Research Division (GIR). From macroeconomic forecasts to individual stock analysis, GIR develops tools and insights to help shape investment strategies for clients and the firm. GIR analysts work on client-focused research in the equity, fixed-income, currency, and commodities markets, mining big data that enters markets around the world each day to identify game-changing insights.

HOW YOU WILL FULFILL YOUR POTENTIAL

Substantial initiative, creativity and drive, together with the ability to work closely and comfortably with research analysts, are essential attributes of all group members. Because the role requires substantive interaction with research analysts and advising on rules and laws impacting research, candidates with regulatory, compliance, legal or other investigatory experience, who can function in a compliance or legal arena, are being sought. Work with global team members located in New York, Hong Kong, Tokyo, Singapore, India, Melbourne and London.

• Regulatory Matters. Helping to manage the division’s responses to requests for information from regulators, keeping apprised of latest regulatory developments as it relates to GIR.
• Advisory and Compliance Oversight. Provide advice to the business, including senior management, on regulatory and reputational related matters, and act as a resource on a daily basis for compliance and policy issues.
• Policies and Procedures. Ensure that the division has appropriate policies and procedures in place. Assess, design and drive completion of necessary upgrades, updates and new policies. Work closely with Legal and the business to fulfill requirements.
• Design, execute and deliver live and online training on divisional policies and procedures.
• Controls/Surveillance/Testing. Create controls, roll out surveillance and monitor testing of policies and procedures.

• Holds a GSP or SIC license as issued by the Securities Association of China
• Regulatory / legal background preferred
• Fluency in Mandarin and English (reading, speaking and writing)
• Strong oral and written communication skills; ability to communicate confidently and effectively with a diverse audience
• Quick learner who can adapt well to a fluid regulatory and business environment
• Ability to handle multiple tasks simultaneously, and to work effectively in a team
• Organized, detail-oriented, enthusiastic and professional