Compliance Expert for APAC Markets

2 weeks ago


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

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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