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Ashford Benjamin Ltd

Equities Compliance - Global Investment Banks

Ashford Benjamin Ltd Hong Kong
Posted 6 days ago Permanent Competitive
V
Posted by
Vivian Chen
Associate Director
We are working with various global investment banks who's keen to hire middle - senior equities compliance advisory professionals to join their team in Hong Kong.

Key Responsibilities

  • Be accountable for the APAC Markets Compliance program
  • Provide advice on regulatory interpretation and compliance issues in relation to global markets business
  • Handle APAC compliance issues, incident, and breaches in conjunction with various internal parties, where necessary
  • Review and lead new business and infrastructure initiatives from a local and international regulatory, best practice and firm perspective.
  • Liaise with local regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveys
  • Periodic review, update and introduction of Compliance policy and procedures to ensure continuing relevance; and providing guidance, interpretation and direction to stakeholders.

Requirements

  • Minimum 7 years of relevant work experience in the financial services industry in Markets Compliance (Equities)
  • In-depth knowledge of APAC regulatory and compliance requirements
  • Solid knowledge of Equities products
  • Excellent English, ideally with Chinese (Cantonese / Mandarin) language skills

 

ABOUT COMPANY
Hong Kong
HR & Recruitment
Ashford Benjamin is a leading executive search firm, focusing on the legal, risk & compliance professions. The majority of our projects are retained, ...
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