Compliance Specialist for Global Markets

1 month ago


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

At Ashford Benjamin Ltd, we are seeking a seasoned Compliance Specialist to join our team in the APAC region. The successful candidate will play a crucial role in ensuring our business operations comply with relevant regulations and exchange rules.

Key Responsibilities
  • Provide expert advice on equities, fixed income, and electronic trading compliance matters.
  • Act as the primary contact person for regulatory and compliance issues related to market-making activities.
  • Implement and maintain compliance policies, procedures, and frameworks in line with evolving regulatory requirements.
  • Collaborate closely with internal and external stakeholders on new product initiatives, trade strategies reviews, and regulatory examinations.
Requirements
  • A minimum of 5 years of experience in equities/fixed income/electronic trading compliance advisory.
  • Familiarity with global markets exchange rules and regulations in the APAC region.
  • Fluency in English; proficiency in any Asian language is an asset.

The ideal candidate should possess strong analytical and communication skills, with the ability to work effectively in a fast-paced environment. We offer a competitive salary range of $120,000 - $180,000 per annum, commensurate with experience, plus benefits and opportunities for career growth.



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

    About Ashford Benjamin LtdAshford Benjamin Ltd is a leading financial services company that values expertise and integrity in compliance matters.Job DescriptionWe are seeking a highly experienced Compliance Professional to join our team. As Global Markets Compliance Specialist, you will be responsible for providing critical compliance advice on equities,...


  • Hong Kong, Central and Western District, Hong Kong SAR China MRA Search Full time

    Company OverviewMRA Search is a leading recruitment agency with a focus on financial services. Our team of expert recruiters has an in-depth understanding of the industry and its requirements.SalaryThe estimated salary for this position is HKD 600,000 - HKD 800,000 per annum, depending on experience.Job DescriptionKey Responsibilities:To ensure that Markets...

  • Compliance Officer

    1 week ago


    Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    Citi, one of the world's most global banks, is seeking a high-caliber professional to join our team as a Compliance Officer - Wealth Market Specialist in Hong Kong.About CitiWe're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure to senior leaders. At Citi, you'll have the opportunity to...


  • Hong Kong, Central and Western District, Hong Kong SAR China Aquis Search Full time

    About the RoleWe are seeking an experienced Global Legal Compliance Specialist to support our APAC operations for a leading global financial services firm.Key ResponsibilitiesDraft and review legal documents, including fund documents, distribution agreements, and corporate contracts, ensuring compliance with regulatory requirements.Provide expert legal...


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

    Job DescriptionWe are seeking a seasoned Risk Management Specialist to join our team at Ashford Benjamin Ltd. In this role, you will be responsible for providing compliance advice on APAC equities, fixed income and electronic trading business.Key Responsibilities:Act as the primary point of contact for regulatory and compliance matters related to...


  • Hong Kong, Central and Western District, Hong Kong SAR China Pure Hong Kong Full time

    Job OverviewPure Hong Kong is seeking a highly skilled Global AML Compliance Specialist to join our team. As a key member of our compliance department, you will play a critical role in ensuring the bank's operations are in line with Anti-Money Laundering (AML) regulations.


  • Hong Kong, Central and Western District, Hong Kong SAR China Global Executive Consultants Ltd. Full time

    Job SummaryWe are seeking a highly experienced Regulatory Compliance Specialist to join our team at Global Executive Consultants Ltd. in Hong Kong.About the RoleThe successful candidate will be responsible for overseeing general compliance for Type 1, 4, and 9 licenses, ensuring daily operations comply with Hong Kong SFC and/or other regulatory requirements,...


  • Hong Kong, Central and Western District, Hong Kong SAR China Projob21 Ltd. Full time

    Projob21 Ltd. is seeking a dedicated Global AML Compliance Specialist to join our team in Hong Kong. This exciting opportunity allows you to work with a world-class private bank, shaping the future of compliance and risk management.The ideal candidate will possess strong analytical skills, attention to detail, and excellent communication abilities. With 2+...


  • Hong Kong, Central and Western District, Hong Kong SAR China Global Executive Consultants Ltd. Full time

    We are seeking a high-caliber Regulatory Compliance Specialist to join our team at Global Executive Consultants Ltd.Job DescriptionThe successful candidate will be responsible for overseeing general compliance for Type 1, 4, and 9 licenses, ensuring daily operations comply with Hong Kong SFC and/or other regulatory requirements. This includes handling...


  • Hong Kong, Central and Western District, Hong Kong SAR China Global Executive Consultants Ltd. Full time

    At Global Executive Consultants Ltd., we are seeking a highly skilled Senior Financial Regulatory Compliance Specialist to join our team.Key Responsibilities:Regulatory Document Management: Implement digitalization projects, liaise with parties for regulatory document stocktake and data collection, identify and report issues about documents or...


  • Hong Kong, Central and Western District, Hong Kong SAR China Bohan Group Full time

    A leading financial institution, Bohan Group, is seeking a highly skilled Global Markets Execution Specialist to join their team in Hong Kong.**Job Summary:**The successful candidate will be responsible for executing trades across various asset classes, ensuring optimal execution and minimal market impact.Main Responsibilities:


  • Hong Kong, Central and Western District, Hong Kong SAR China MatchTalent Limited Full time

    Job SummaryWe are seeking a highly skilled Bond Market Compliance Specialist to join our team at MatchTalent Limited. This is an exciting opportunity for a dedicated professional to take on a key role in ensuring the company's compliance with bond market regulations.About the RoleThe successful candidate will be responsible for monitoring and interpreting...


  • Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

    Larson Maddox seeks a skilled Financial Markets Regulatory Compliance Specialist to ensure the company's equities trading activities adhere to regulatory standards and internal policies.Key Responsibilities:Conduct comprehensive monitoring and testing of equities trading activities to prevent market abuse and irregularities.Perform trade surveillance to...


  • Hong Kong, Central and Western District, Hong Kong SAR China Cornerstone Global Partners Full time

    Job Title: Senior Fintech Executive - Market Growth SpecialistCornerstone Global Partners is seeking an experienced Senior Fintech Executive to lead our business strategy and drive market growth in Hong Kong.Key Responsibilities:Drive strategic initiatives to expand our presence in the Hong Kong market.Develop and maintain strong relationships with key...


  • Hong Kong, Central and Western District, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    Job Title: Senior Compliance SpecialistWe are seeking a highly experienced and skilled Senior Compliance Specialist to join our team at Bank Of China (Hong Kong) Limited. As a key member of our compliance department, you will play a critical role in ensuring that our business operations align with relevant laws and regulations.Key Responsibilities:Compliance...


  • Hong Kong, Central and Western District, Hong Kong SAR China Global Executive Consultants Ltd. Full time

    Global Executive Consultants Ltd. is a leading consulting firm that specializes in providing expert advice to financial institutions on market risk management.The company is currently looking for a highly skilled Chief Market Risk Management Specialist to join their team in Hong Kong.The successful candidate will be responsible for identifying, measuring,...


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

    Job DescriptionAt Ashford Benjamin Ltd, we are seeking a seasoned Compliance Specialist to lead our Control Room and Research Compliance function in the Asia Pacific region. As a key member of our team, you will be responsible for ensuring compliance with regulatory requirements and industry standards.Main Responsibilities:Clearance of investment research...


  • Hong Kong, Central and Western District, Hong Kong SAR China Global Executive Consultants Ltd. Full time

    Are you looking for a challenging role in Anti-Money Laundering (AML)? Global Executive Consultants Ltd. is seeking a Senior Compliance Specialist to lead our AML operations team.Job DescriptionWe are seeking a highly experienced professional with a strong background in AML compliance to join our team as a Senior Compliance Specialist. In this role, you will...


  • Hong Kong, Central and Western District, Hong Kong SAR China Unicorn Advisor (HK) Limited Full time

    Company Overview">Unicorn Advisor (HK) Limited is a leading financial services company that provides expert advice to clients in the Asia-Pacific region.">Job Summary">We are seeking an experienced Senior Financial Markets Compliance Specialist to join our team. The successful candidate will be responsible for ensuring compliance with all relevant...


  • Hong Kong, Central and Western District, Hong Kong SAR China Links International Full time

    As a Regulatory Compliance Specialist with Links International, you will play a pivotal role in ensuring the compliance infrastructure is enhanced and aligned with international standards. You will work closely with local and international teams to address compliance issues across the business.The ideal candidate should have a deep understanding of Hong...