The APAC Supervisory Analyst (SA) team consists of 17 members based in Asia Pacific, Europe, and North America, providing 6-day, 24-hour coverage for APAC research. The SAs are responsible for reviewing all Asian 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. Research is published in English, Japanese, and Mandarin, as required. The APAC team also provides global support as needed to SA teams based in other regions.

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:

• FINRA Series 16 and at least six years of experience as a Supervisory Analyst
• FINRA Series 4 a plus
• Focused, articulate, commercially minded, and comfortable working in a fast-paced environment
• Proficient in Word, Excel, and PowerPoint
• Mandarin or Japanese skills beneficial

Hours and location: 5-day working week, daytime hours, based in Australia (Sydney office).