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Compliance Associate

Company Description


Job Description

●         Working with Compliance team globally and ensuring compliance with applicable securities laws (both domestic and international) and Third Bridge’s internal compliance policies.

●         Integrating internal compliance procedures with client compliance requirements.

●         Responding to day-to-day compliance queries from research teams.

●         Delivering compliance training to employees at regular intervals.

●         Other compliance related tasks, as required.

●         Inquiring and working with the Legal team regarding specific areas of law of relevance to the business as and when needed.

●         Review and approve the subject matter of industry calls and speakers.

●         Review and approve call invites and agendas.

●         Answer daily compliance queries from business lines and Third Bridge clients.

●         Ensure compliance with internal procedures and pre-agreed client specific processes.

●         Review and approve transcripts of conference calls, specifically to identify confidential information and other inappropriate content and work with the call moderators to finalize content for publication.


●         Organized with excellent attention to detail

●         Ability to develop strong working relationships across the organization, working with all levels and all offices globally

●         Excellent oral and written communication skills in both English and Chinese

●         Ability to identify risks and apply strategies to minimize them

●         Legal Degree level qualification, highly desired

●         2 years legal or compliance experience 

●         1+year with financial regulations or securities is a plus

Additional Information