CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Eames Consulting Hong Kong, EA Licence No: 16S8091
June 8, 2018
Working with the Firm's Investment Banking and Capital Markets professionals to review advisory and financing transaction for conflicts of interest, to conduct materiality assessments and maintain watch and restricted lists
Working with the Firm's Research division to provide advice on regulatory matters in relation to research product (e.g. Investor Education Research and ordinary course research publication) as well as managing the process for interaction between bankers and analysts in capital formation under the Firm's policies and procedures
Provide ad-hoc advisory services to the business to address and implement Information Barrier procedures throughout the Firm, including providing input into global, regional and local policies and procedures
Review research product prior to publication in order to identify and address any problematic legal, regulatory and reputational issues
Maintenance of the Control Group logs (for example on Information Barrier breaches)
Managing wall-crossings for public-side employees who may become involved in private side transactions
Undertake training and development programs for the relevant business on relevant requirements and practices
Provide assistance on ad-hoc project
Minimum 3-5 years working experience in financial institutions with a background in Legal/Compliance or in-house / private practice counsel with exposure to investment banking activities
Control group / investment banking / research / markets compliance experience preferred