Private Side Compliance Specialist

We are instructed on multiple middle investment banking compliance roles with investment banks in Hong Kong. You will provide compliance advisory to investment banking capital markets and research businesses across APAC region.

Ashford Benjamin Ltd - Hong Kong - Full time

Salary: Competitive

Responsibilities:

  • Advising and supporting the Investment Bank and Capital Market, Research business on a wide range of internal and transaction-related compliance matters
  • Drafting compliance framework, policies, and procedures
  • Participate in regulatory updates, new product and activity approvals projects
  • Working closely with control room to advise and manage activities in relation to conflict of interest, information barriers, wall crossing, etc
  • Liaising with regional and global Legal and Compliance colleagues on matters pertaining to private side business

Requirements:

  • Minimum 6 years of compliance experience in investment banking and capital market business compliance advisory
  • Familiar with private side related rules and regulations for APAC region 

 

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