Global Markets Compliance - AVP-Director

Ashford Benjamin is instructed on multiple global markets compliance roles with global financial institutions in Hong Kong. Being a compliance advisory member, you will provide compliance coverage for the equities/ fixed income desk across APAC region. You will be accountable for APAC equities compliance program, advising on regulatory updates, responsible for compliance incidents and breaches, reviewing new business and products initiatives and implementing relevant compliance policies and proc

Ashford Benjamin Ltd - Hong Kong - Full time

Salary: Competitive

Responsibilities:

  • Provide compliance advice on APAC equities, fixed income  and/ or electronic trading business 
  • Act as the contact person in connection with regulatory and compliance matters for market-making activities
  • Implementing compliance policy, procedure, and framework  according to relevant regulatory updates
  • Working closely with internal and external stakeholders on new product/ business initiatives, trade strategies review, regulatory examination, etc


Requirements:

  • Not less than 5 years experience in equities/ fixed income/ electronic trading compliance advisory 
  • Familiar with global markets exchange rules and regulations in the APAC region
  • Fluent English, any Asian language will be an advantage
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