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Equities Compliance

2 months ago

hong kong, Hong Kong SAR China Ashford Benjamin Ltd Full time

Responsibilities:

  • Provide compliance advice on APAC equities and 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/ electronic trading compliance advisory 
  • Familiar with Equities or Algo and electronic trading in APAC region
  • Fluent English, any Asian language will be an advantage