Compliance Analyst/Associate

  • Location: Hong Kong
  • Salary: Competitive
  • Organization: Investment Firm

Our Client is an internationally renowned investment firm with a global outlook.  With over 20 offices throughout the world and overwhelming investment product coverage, they one of the leading employers within the financial sector.  Currently, they seek to add a compliance analyst or associate (depending on experience to their Hong Kong office). 

Responsibilities:

  • Development, maintenance, and testing of compliance processes.
  • Preparation of compliance reports for senior management, regulators and other interested bodies.
  • Preparation of license applications, coordination, and filing of regulatory reports.
  • Recommending and implementing automated systems controls designed to mitigate, prevent and detect instances of fraud or other suspicious activity.
  • Performing KYC analysis of higher risk clients.
  • Providing compliance support related to the development and implementation of new products, and remaining current on compliance matters as they relate to nonbank financial services and payments operations.
  • Assisting in the development and execution of an enterprise risk assessment program, focusing on risk assessments related to AML/BSA and fraud.
  • Contract review for Asia (confidentiality agreements, service provider engagement letters, leases and other corporate contracts)
  • Familiarity with mainland China regulations
  • Providing general administrative support and legal assistance

Requirements:

  •  Law degree with qualification in China is required. 
  • 1-3 years of experience in a legal setting or in the financial services industry is a plus
  • Excellent written and spoken English and Mandarin required
  • Strong analytical, issue-spotting and problem-solving skills
  • Outstanding organizational skills and ability to prioritize workflow thrives in an environment with multiple responsibilities
  •  Ability to communicate confidently and effectively with individuals at all levels of the organization, including senior management
  • Highly proficient in Microsoft Word, Excel and PowerPoint.
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