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Ashford Benjamin Ltd

Compliance Generalist - Global Financial Institution

Ashford Benjamin Ltd Hong Kong
Posted 2 days ago Permanent Competitive
V
Posted by
Vivian Chen
Associate Director
Exciting opportunity for compliance professionals with 5-7 years of experience in the industry who's keen to develop themselves as a compliance generalist in the industry.

We are working with a junior to middle level compliance role with a global leading financial institution who’s expanding their compliance function in Hong Kong.

 

Responsibilities:

  • Responsible for compliance program, policies and procedures
  • Identify, monitor, and communicate regulatory changes trends and proposals to senior management
  • Review personal account dealing, conflict of interest, employee conduct, etc
  • Liaise with regulators and preparing regulatory enquiries, surveys and inspections
  • Implement compliance controls and tool to address gaps with global compliance framework
  • Provide training for internal staffs

Requirements

  • 5+ years’ experience in compliance
  • Familiar with global markets/ electronic trading business related compliance
  • Hands-on experience handling general or regulatory compliance

 

ABOUT COMPANY
Hong Kong
HR & Recruitment
Ashford Benjamin is a leading executive search firm, focusing on the legal, risk & compliance professions. The majority of our projects are retained, ...
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