Research Quality Controller(J18938)

职位描述

1) Review various research products (reports, financial models, podcasts, videos, communications etc.) for content quality and adherence to relevant regulations and business standards. Supervisory analysts evaluate research products with respect to logic, organization, and valuation methodology; ensure clarity and internal consistency.

2) Provide approval in a timely manner, for research products to be distributed to investors.

3)Collaborate closely with research analysts, legal, and compliance teams to resolve issues, provide guidance on daily operating procedures, and offer training on compliance standards.

4) Facilitate research product production, internal communication and solve problems if any.

5) Assist other quality control related tasks if needed.

任职要求

1) English/Mandarin bilingual.

2) Supervisory Analyst license (FINRA Series 16) required.

3) Strong analytical skills, good knowledge of capital markets and financial regulatory requirements.

4) Ability to work under intense deadline while maintaining close attention to details.

5) Ability to communicate efficiently and effectively, both written and verbal.

6) Strong team player and excellent work attitude to provide strong support to research analysts.

7) Sell-side research experience a plus.

Compliance Requirements:

- Employment is contingent upon successful completion of background checks.

- Registration with regulatory authorities is required.

Equal Opportunity Employer Statement:

- We are an Equal Opportunity Employer and do not discriminate based on any legally protected status. We comply with applicable non-discrimination laws and provide reasonable accommodations to qualified individuals with disabilities.