Supervisory Analyst / Editor / Designated Quality Review Officer - Shanghai

Description:
Citi Research delivers industry-leading investment analysis to Citi’s global institutional investor and wealth management client base. Our team includes some 350 publishing analysts globally, with fundamental coverage of ~3,600 equity securities, as well as areas such as quantitative analysis, economics, fixed-income/rates/credit, FX, commodities, and data analytics. We also deliver access services such as conferences & events, corporate access & visits, and direct insights from market, policy, and industry experts.
Citi Research is seeking a Supervisory Analyst / Editor / Designated Quality Review Officer (DQRO) to join our nascent Shanghai-based Research office under Citigroup Securities (China) Co. Ltd. This is a role for a seasoned professional combining responsibilities in editorial, risk management, and operational processes. This role will primarily support and review research product produced by our new Shanghai team, both in English and Chinese. The role may also involve some review of global ex-PRC research product. The role requires strong editorial skills and financial/investment topics comprehension in order to filter, prioritize and validate potentially complex and dynamic material from multiple sources. Strong communication and diplomacy skills are required. Attention to detail is a must!
Key Responsibilities:
Review investment research product to ensure compliance with PRC and US FINRA regulations, including reasonable basis and sourcing requirements.
Review investment research product to ensure compliance with Citi’s internal research content guidelines, as detailed in our research guidebooks and policies.
Edit investment research for quality, clarity, commerciality, style, and grammar.
Review both Chinese and English variants, including cross-checking consistency.
Review investment research language/tone and content for franchise risk, with consideration of the firm's reputation and business exposures, and in light of PRC and global political and client sensitivities. Be capable of editing to mitigate such risks (while maintaining our independent views), as well as determining when escalation is appropriate.
Handle the checking of investment research product for 1) issuer mentions for cross-checking against our Watch List; 2) the inclusion of appropriate disclaimers & disclosures; 3) data consistency; and 4) distribution tagging and other product & template elements.
Act as an editorial project manager, providing end-to-end traffic management of work-in-progress, liaising as needed with analyst teams, other Publications staff, product managers, control & compliance teams, data and technical support teams, and other relevant partners, to resolve problems and ensure product ultimately publishes.
Broadly as a Citi staffer, assess risk appropriately when business decisions are made, work in compliance with applicable laws, rules and regulations, adhering to policies, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
Qualifications:
Have passed the examination uniformly organized by the CSRC for securities business personnel; Securities Association of China (SAC) test.
Holding a FINRA Series-16 license is a major advantage. We may also consider strong candidates without Series-16 and would sponsor them to sit the exam, including providing study materials. Quick study prep time and then successfully passing this challenging exam is a requirement for the role.
Candidate should have at least five years of experience creating, supporting, or editing investment/financial analytic content. Candidate should be a fluent Chinese and English speaker with evidence of editorial and writing capability.
We expect candidates to have strong familiarity with financial markets, financial terminology, and ongoing business news in PRC, Asia, and globally.
Ability to prioritize and to juggle multiple tasks simultaneously amid tight deadlines.
Strong problem-solving skills with the ability to exercise sound and balanced judgment.
Meticulous and detail oriented. Key aspects of the role involve being able to remember and apply many guidelines and procedures on a consistent and reliable basis.
Team members should have comfort working with sometimes complex publishing software platforms (e.g. Sinitek) and ability to coordinate with partner teams when trouble-shooting technical issues.
Team player with good interpersonal skills, and the patience and diplomacy to work with demanding internal customers and effectively find win-win solutions.
This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.
Other Key Requirements:
Bachelor’s undergraduate university degree or higher
PRC nationality
Have complete civil capacity; be of good moral character, fair-minded and honest, and possess sound professional ethics.
Have not incurred any criminal penalty or any serious administrative penalty related to securities or futures business.
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Job Family Group: Research
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Job Family:Research Product
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Time Type:Full time
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Most Relevant Skills Please see the requirements listed above.
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Other Relevant Skills For complementary skills, please see above and/or contact the recruiter.
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