Compliance Expert for APAC Markets
2 weeks ago
At 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 against watch and restricted lists, maintaining transactional and role disclosures.
- Development of compliance frameworks, policies, procedures, and training programs for Corporate and Investment Banking business.
- Provision of compliance advice on research, regulatory reporting, and business matters.
- Approval and maintenance of restricted, watch, and conflict lists, wall crossing, and information barriers issues.
- Participation in regulator inquiries, inspections, and management meetings to enhance control frameworks.
Requirements:
- Minimum 5 years of experience in control room and research compliance, preferably in APAC markets.
- Direct experience working with global management teams is highly desirable.
What We Offer:
- A competitive salary ranging from $120,000 to $180,000 per annum, commensurate with experience.
- A dynamic work environment with opportunities for professional growth and development.
- A comprehensive benefits package, including health insurance, retirement plan, and paid time off.
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