Regulatory Compliance Expert for APAC Operations

1 week ago


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

A key role has become available in our team at Ashford Benjamin Ltd, focusing on the compliance aspect of our operations within the Asia Pacific region.

The Control Room and Research Compliance Specialist will be responsible for ensuring adherence to regulatory requirements and maintaining a robust control framework.

Key Responsibilities:
  • Compliance Clearance: Provide clearance on investment research against watch and restricted lists, maintaining accurate transactional and role disclosures.
  • Policy Development: Establish and maintain compliance frameworks, policies, procedures, and training programs for Corporate and Investment Banking business units.
  • Advisory Services: Offer compliance advice on research, regulatory reporting, and business matters.
  • List Management: Approve and maintain restricted, watch, and conflict lists, as well as address information barriers issues.
  • Regulatory Engagement: Participate in regulator inquiries, inspections, and management meetings to enhance the control framework.
Requirements:
  • A minimum of 5 years' experience covering control room and research compliance, with a strong background in APAC operations.
  • Demonstrated expertise in working with global management teams and understanding regional regulatory environments.

This is a critical role that demands a high level of professionalism, attention to detail, and the ability to work effectively in a fast-paced environment.

About the Opportunity

We are looking for an experienced Regulatory Compliance Expert who can provide guidance and support to our team members, ensuring that we maintain the highest standards of compliance.

As a key member of our team, you will have the opportunity to contribute to the development of our compliance frameworks and play a crucial role in ensuring the integrity of our operations.



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