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Supervisory Analyst, Asia Pacific Equity Research Job Details

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Supervisory Analyst, Asia Pacific Equity Research (Ref: 110024245)
Sector, Sub Sector: Other
Compliance Type: Regulatory/Compliance
Expertise: -
Company: JP Morgan Chase
Location: Hong Kong Asia / Pacific, China
Employment Type: Permanent
Job Description:

Service Product(s):

Asia equity, equity derivatives, and credit research.

 

Description of Services:                                   

The Asia-Pacific Supervisory Analyst (SA) team consists 7 SAs based in Sydney, Hong Kong, Mumbai, London, New York, and Toronto, providing near 24 hour coverage for Asia Pacific research. The SAs are responsible for reviewing all Asia and Australian equity, equity derivatives and credit research products, as well as Global products when required, for compliance with NYSE Rule 472 and NASD Rule 2210/2711. NYSE requires that Series-16 registered supervisory analysts review these research products distributed externally to the firm's clients. This review must be substantive and cannot be simply a cursory scanning or a formalistic approval process. 

 

Part of the Investment Bank and closely aligned with Equity Sales & Trading, the Asia-ex/Australia equity research team comprises 100 analysts covering 940 stocks, within a global research effort with 300 analysts covering 3,400 stocks.  Based on aggregate Institutional Investor surveys worldwide, across equity and fixed income, J.P. Morgan is the top-ranked research house globally. 

 

SAs' primary responsibilities include:


  • Review Asian equity, equity derivatives, and credit research authored by our analysts in various AP locations. Provide near 24 hour coverage from different locations, in order to meet our department business needs.

  • Review Global research as required.

  • Approve and release research through our Global Publishing System (GPS) channel, which will in turn distribute our research to Morgan Markets and other third party vendors.

  • Ensure the investment thesis presented in our research has a reasonable basis.

  • Ensure that estimates and opinions are distinguished from facts and are properly sourced. 

  • Ensure language is not promissory, misleading, in bad taste, or inflammatory in nature. 

  • Conduct restricted list and grey list check, and escalate to Asia Control Room if necessary. Serve as the liaison between research analyst and Compliance when dealing with Compliance-related issues.

  • Editorial review of research written in English as a second language.

  • Ensure that appropriate disclosures related to conflicts of interest are properly included.

  • Enforce internal research management rules and procedures; ensure that proper management approvals are obtained for initiations and rating changes.

  • Provide on-going training on SA rules and internal business policies to analysts/new hires.

  • Work with GRC Production, Editorial and Dataguardian teams on publishing, editorial, record-keeping and disclosures-related issues.

Requirements:


  • FIRNA Series 16 license required, or pass S.16

  • Other relevant New York Stock Exchange licenses (Series 4, 7, 24) a plus


Licensing requirement


  • Must have, or pass, the FIRNA Series 16 examination.


 
Job Ref No: 110024245