Ashford Benjamin Ltd - Hong Kong

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