Research Compliance Advisory - AVP to VP level

Hong Kong
Job Type: 
HK$81,000 - 90,000/month
Rouella Landicho

Our client is a Top Tier Investment Bank with a strong presence in APAC Region.


  • Develop effective working relations with APAC Research Business and other stakeholders
  • Provide guidance and analysis on new Research business initiatives within APAC
  • Manage requests and issues raised by Global Research according to internal policies and procedures
  • Manage APAC regulatory changes that have implications on the Research business
  • 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
  • Manage pre-deal research-related activities
  • Provide guidance, review and approve pre-deal research in APAC

The Successful Candidate:

  • Bachelor's Degree in accounting, finance or legal
  • Minimum 4-8 years of relevant experience either in a research compliance, control room, IBD compliance, compliance testing, or trade surveillance
  • Good knowledge and experience in dealing with various regulatory framework in various jurisdictions in APAC
  • Strong presentation and communication skills in English

For confidential inquiry, please contact Rouella Landicho on 3907 3912 or email:

Rouella Landicho
Manager | Client Services - Risk, Legal, Compliance, Audit
+852 3907 3912