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Private Wealth Management Compliance Advisory

Responsibilities: Provide compliance advisory to Private Wealth Management business Design, develop and maintain compliance programs, policies, procedures and practices in Private Wealth management Business Monitor and Identify regulatory developments and watch lists Provide compliance training to relevant departments Manage strategy and responses...

Full-time

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Operational Risk Specialist

Hong Kong / Ashford Benjamin Ltd

Job Responsibilities: • Maintain operational risk management policies and ensure all policies and practices are in compliance with regulatory requirements; • Responsible for firm-wide operational risk control and management in the role of the 2nd line of defence (LoD); • Provide guidance to the 1st LoD to develop/enhance key risk indicators (KRIs),...

Full-time

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Regulatory Compliance - Global Investment Bank

Hong Kong / Ashford Benjamin Ltd

Responsibilities: Provide regulatory advisor to APAC business and control function Monitor relevant regulatory changes and development Implement related policies and procedures Support new business initiatives and ensure related rules and regulation are identified and followed Work closely with other compliance function on projects and other compli...

Full-time

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Equities Compliance - Global Investment Banks

Hong Kong / Ashford Benjamin Ltd

Key Responsibilities Be accountable for the APAC Markets Compliance program Provide advice on regulatory interpretation and compliance issues in relation to global markets business Handle APAC compliance issues, incident, and breaches in conjunction with various internal parties, where necessary Review and lead new business and infrastructure initi...

Full-time

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Insurance Compliance Advisory

Hong Kong / Ashford Benjamin Ltd

Responsibilities: Implement compliance framework, policies and procedures across all business lines Conduct regular compliance risk assessments, execute the compliance monitoring plan, data analytic, and the related issues analysis, remediation and reporting to ensure adherence to compliance risk thresholds Disseminate circular and guidelines from...

Full-time

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Counterparty Credit Risk AVP-VP

Hong Kong / Ashford Benjamin Ltd

Job Description Prepare credit files and write ups and review credit limit applications Review and assign appropriate internal credit ratin, credit exposures deriving from OTC transactions Assist in review and negotiation of credit terms within Master agreements (i.e. ISDA, GMRA, GMSLA) Responsible for credit and management reports and credit expo...

Full-time

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Central Compliance - Global Financial Institution

Hong Kong / Ashford Benjamin Ltd

Responsibilities: Responsible for central and employee compliance related matters Handling licensing, personal account dealing, gift and entertainment and employee disclosures Assist with CPT hours tracking and examination, regulatory filing with regional regulators Liaise with regulators and preparing regulatory enquiries, surveys and inspection...

Full-time

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Financial Crime Compliance Investigation - Global Investment Bank

Hong Kong / Ashford Benjamin Ltd

Responsibilities: Investigate AML/CTF transaction and client profile cases Responsible for money laundering, financing of terrorism and related issues Review, analyze and resolve investigation cases to ensure it’s accomplished to address the banks and regulators regulatory policy Ensure these occurrences are documented in the case for regulatory/au...

Full-time

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Fixed Income Market Risk VP/Director - Global Investment Bank

Hong Kong / Ashford Benjamin Ltd

Responsibilities: • Implement APAC Market Risk framework, policy, procedure and program for Fixed Income business • Oversee market risk limites and review trade authroization • Work closely with business on their daily activities and development of new products and business initiatives • Participate in the implementation of enhanced risk management...

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Fixed Income Compliance - Global Investment Banks

Hong Kong / Ashford Benjamin Ltd

Key Responsibilities Be accountable for the APAC Markets Compliance program Provide advice on regulatory interpretation and compliance issues in relation to global markets business Handle APAC compliance issues, incident, and breaches in conjunction with various internal parties, where necessary Review and lead new business and infrastructure initi...

Full-time

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Total 10 job vacancies by Ashford Benjamin Ltd