Markets Specialist

7 days ago


Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Ltd Full time

Key Responsibilities

  • Be accountable for the APAC Sales and Trading Compliance program
  • Provide advice on regulatory interpretation and compliance issues
  • Handle APAC compliance issues, incidents, 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 businesses on regulatory inquiries, audits, inspections, questionnaires and surveys
  • Periodic review, update and introduction of Compliance framework, 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 covering regulatory compliance
  • Solid knowledge of Global Markets business and related rules and regulations


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