Risk Management Specialist
10 hours ago
We are seeking a highly skilled Risk Management Specialist to join our team at Ashford Benjamin Ltd. As a key member of our Private Side Compliance team, you will play a critical role in ensuring that our investment banking and capital market businesses operate within a robust compliance framework.
Key Responsibilities- Advisory and Support
You will provide expert advisory and support services to our Investment Bank and Capital Market, Research business on a wide range of internal and transaction-related compliance matters.
Compliance Framework DevelopmentYou will draft and maintain compliance frameworks, policies, and procedures to ensure that our business operations align with regulatory requirements.
Regulatory Updates and ApprovalsYou will participate in regulatory updates, new product and activity approvals projects, working closely with relevant stakeholders to ensure compliance.
Conflict of Interest ManagementYou will work closely with our control room to advise and manage activities related to conflict of interest, information barriers, wall crossing, and other compliance-related risks.
Regional and Global CollaborationYou will liaise with regional and global Legal and Compliance colleagues on matters pertaining to private side business, ensuring seamless coordination and effective risk management.
Requirements- Experience
A minimum of 6 years of compliance experience in investment banking and capital market business compliance advisory is required for this role.
Familiarity with RegulationsFamiliarity with private side related rules and regulations for the APAC region is essential for success in this position.
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