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Compliance Advisor

3 weeks ago

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

Responsibilities:

  • Provide compliance advisory to global markets business including but not limited to equities, fixed income and ALM
  • Assist stakeholders in regulatory development updates, projects and related incidents
  • Review new business and product proposals and transactions
  • Handle regulatory inquiries, audits, inspections and surveys
  • Assist in compliance control system projects and training
  • Review, implement and update compliance policies, and procedures

Requirements:

  • 8+ years of experience in regulatory compliance/ compliance advisory
  • Solid understanding of global markets products