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Ashford Benjamin Ltd
in Hong Kong
Permanent, Full time
Last application, 08 Sep 21
Competitive
Ashford Benjamin Ltd
in Hong Kong
Permanent, Full time
Last application, 08 Sep 21
Competitive
Posted by:
Vivian Chen • Associate Director
Posted by:
Vivian Chen
Associate Director
We are instructed on multiple headcounts within markets compliance with various top-tier investment banks. Candidate could come from equities / FICC compliance background.

Key Responsibilities

  • Be accountable for the APAC FICC / Equities Compliance program
  • Provide advice on regulatory interpretation and compliance issues
  • Handle local 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 Equities / FICC Compliance or internal audit and/or with a securities exchange or regulator
  • In-depth knowledge of HK regulatory and compliance requirements
  • Solid knowledge of Equities / FICC products
  • Excellent English, ideally with Chinese (Cantonese / Mandarin) language skills

 

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