Take up the role of supervisory analyst (SA) who conducts quality check and approve research reports written by research analysts before publication.
Analyzes research reports for potentially misleading information such as promissory language about future stock performance.
Understand and ensure compliance with all relevant internal and external rules and regulations in liaison with Compliance department. Ensures that published research notes are compliant with regulatory requirements and firm policies.
Conduct sanity check on financial models.
Facilitate research report production, internal communication and solve problems if any.
Assist other quality control related tasks if needed.
Qualifications and Capabilities
Supervisory Analyst license (FINRA series 16) perferred but not required.
PRC Securities Analyst qualification preferred.
Good understanding of capital markets, regulatory requirements and procedures in respect of global research publication.
Ability to work under intense deadline pressure while maintaining close attention to details.
Ability to communicate efficiently and effectively, both written and verbal.
Hard working and excellent work attitude to provide strong support to research analysts.