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The Asia-ex Supervisory Analyst (SA) team consists of eight members based in Asia-Pacific, Europe and North America, providing 6-day, 24-hour coverage for Asia Pacific research. The SAs are responsible for reviewing all Asia and Australian equity, equity derivatives and fixed income research products, as well as global products when required, for compliance with FINRA and other regulatory rules . Responsibilities:
Provide supervisory review of Global Equity (including Equity Derivatives and Equity Strategy) and Fixed Income (including Fundamental Credit, Emerging Markets Corporate Credit, Emerging Markets Strategy, Economics, Technical Analysis, and Commodities) Research
Ensure that research complies with FINRA and other regulatory rules, as well as firm guidelines, including watch list review and applying appropriate disclosures
Multitask in a busy environment and review a variety of products: notes, in-depth company initiations, quick-take alerts, industry reports, blast e-mails, models, and PowerPoint presentations
Edit research when required to ensure quality and control standards
Work with analysts and associates to reinforce business rules, regulatory guidelines and look and feel standards
Requirements: NYSE Series 16 and 3-5 years' experience as a Supervisory Analyst. Candidates must be focused, articulate, commercially minded, and comfortable working in a fast-paced environment. Candidates must be proficient in Word, Excel and PowerPoint. Series 4 a plus. Chinese language skills beneficial.
Hours and location: 5-day working week, daytime hours, Hong Kong office-based