Senior Risk and Compliance Officer
Norton Rose Fulbright
Hong Kong
2天前

Description

Norton Rose Fulbright Hong Kong is part of Norton Rose Fulbright, a global legal practice providing the world's pre-eminent corporations and financial institutions with a full business law service from offices across Europe, the United States, Canada, Latin America, Asia, Australia, Africa and the Middle East.

We currently have an opening for a Senior Risk & Compliance Officer position in our Hong Kong office.

Role or Job Responsibilities :

The role will be based in Hong Kong and will report to the Senior Regional Risk & Compliance Manager, also based in Hong Kong, and the Head of Risk & Compliance (Middle East & Asia) .

Our firm's business acceptance processes cover two primary areas : (i) Client Due Diligence (CDD); and (ii) the identification and management of conflicts of interests.

The role will involve work across both of these areas as well as dealing with other ad hoc compliance queries and projects, including :

Conflicts and Client Confidentiality

  • Assessing new matters for conflicts of interests, with reference to the firm's conflicts databases, internal Conflicts Principles and applicable professional rules.
  • Liaising with client-facing staff to obtain factual and other information about their prospective new matters, to enable informed analysis.
  • Advising fee-earners of new matter clearance conditions and client consent requirements, where applicable.
  • Providing training, support and on-going assistance to staff and function team members with respect to our new matter clearance processes.
  • Managing security and information barriers / ethical walls.
  • Anti-Money Laundering (CDD) / Sanctions / Reputational Risk

  • Conducting CDD risk assessments on new and existing clients, and verifying information about them with reference to reliable and independent source documentation.
  • Assessing new matters with regard to known money laundering typologies in the legal sector, reputational risk and sanctions exposure.
  • Liaising with client-facing teams to obtain information and documents about / from our clients, where necessary.
  • Providing reasoned recommendations to senior management with respect to perceived high risk clients and matters.
  • Training and assisting staff and other team members with respect to our policies, procedures, systems and controls.
  • Other tasks

  • Guiding and training fee earners and PAs on the use of our risk & compliance systems.
  • Supporting the Senior Regional Risk & Compliance Manager and Head of Risk & Compliance, Asia & the Middle East with various other risk & compliance projects and tasks, as required.
  • Monitoring developments in anti- financial crime and legal services laws in the UK, Europe, Middle East & Asia.
  • Qualifications and Attributes

  • Ability to communicate confidently with senior figures
  • Advanced computer skills and technological awareness
  • Organisational and project management skills
  • Aptitude for research and familiarity with online research tools and databases
  • Ability to draft clearly and explain complex issues
  • Accuracy and an eye for detail
  • Sound commercial and risk judgment
  • At least 3 years' experience working in risk & compliance or legal functions, ideally in another law firm, professional services firm or financial institution
  • Willingness to work flexible hours as needed to serve the requirements of the global firm
  • Law, business or humanities degree, or other relevant qualifications (desirable)
  • Competitive salary package will be offered to the right candidate.

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