Asset Management Compliance Asset Management Compliance …

Ashford Benjamin Ltd
in Hong Kong
Permanent, Full time
Last application, 17 Sep 21
Competitive
Ashford Benjamin Ltd
in Hong Kong
Permanent, Full time
Last application, 17 Sep 21
Competitive
Posted by:
Vivian Chen • Associate Director
Posted by:
Vivian Chen
Associate Director
We are working with a global leading asset manager who's keen to hire a compliance specialist to join their team in Hong Kong.

Responsibilities:

  • Responsible for compliance program, policies and procedures
  • Identify, monitor, and communicate regulatory changes trends and proposals to senior management
  • Review e-trading platform and products, monitor system development and market surveillance
  • liaise with securities regulators and preparing regulatory enquiries, surveys and inspections
  • Implement compliance controls and tool to address gaps with global compliance framework
  • Provide training for internal staffs

Requirements

  • 5+ years’ experience in asset management compliance
  • Experience handling asset management and e-trading compliance
  • Familiar with equities, fixed income and future products

 

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