For Recruiters
Ashford Benjamin Ltd

Markets Compliance - Global Investment Banks

Ashford Benjamin Ltd
Hong Kong
Posted 5 days ago Permanent Competitive
V
Posted by
Vivian Chen
Associate Director
We are working with various global investment banks who's keen to hire markets compliance advisory professionals to join their team in Hong Kong. Candidates with equities/ fixed income background are welcomed.

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 8 years of relevant work experience in the financial services industry in Markets Compliance (Equities/ Fixed Income)
  • In-depth knowledge of APAC regulatory and compliance requirements
  • Solid knowledge of Equities and/or Fixed income 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, ...
More jobs From Ashford Benjamin Ltd
Ashford Benjamin Ltd
Market Risk - Global Investment Bank
Ashford Benjamin Ltd
Hong Kong
5 days ago Full time Competitive
Ashford Benjamin Ltd
FI Credit Risk - Global Investment Bank
Ashford Benjamin Ltd
Hong Kong
5 days ago Full time Competitive
Ashford Benjamin Ltd
Asset Management Compliance
Ashford Benjamin Ltd
Hong Kong
5 days ago Full time Competitive