We have been mandated on multiple equities compliance positions within global financial institutions based in Hong Kong.

In the role of a Compliance Advisor, you will be responsible for providing comprehensive compliance coverage to the equities desk across the APAC region. Your key responsibilities will include overseeing the APAC equities compliance program, offering guidance on regulatory updates, managing compliance incidents and breaches, reviewing new business and product initiatives, and implementing pertinent compliance policies and procedures.

To be considered for this role, candidates must have a minimum of 6 years of experience in equities compliance or regulatory compliance for global markets desks. It is crucial to have a strong familiarity with equities products and the relevant rules and regulations for the APAC region.

Please send your CV to Vivian Chen at vchen@ashford-benjamin.com, or call +852 2315 9503 for a confidential discussion.

To apply for this job email your details to vchen@ashford-benjamin.com