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Published 1 year ago

Asset Management Compliance

Ashford Benjamin Ltd

Job Description

Responsibilities:

  • Responsible for compliance program, policies and procedures
  • Identify, monitor, and communicate regulatory changes trends and proposals to senior management
  • Review marketing materials and products,
  • Liaise with securities 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

  • 4+ years’ experience in asset management compliance
  • In-depth understanding in SFC type 1,4,9 rules and regulation
  • Fluent Mandarin and English

Job Particulars

Job source
eFinancialCareers
Job reference
19380609
Date published
12 Apr 2024
Job keywords
Asset Management, Compliance, Compliance/Legal, Compliance Regulatory, Trading, n/a
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