Compliance Associate (US Investment Bank)
Robert Walters
Hong Kong, HK

Job Overview : The Associate is expected to assist with global and regional compliance projects in Asia. This is a 12 months renewable contract.

Key Responsibilities :

  • An Associate in the Asia Pacific Compliance team to assist with global and regional compliance projects in Asia
  • Exposure to a wide range of projects including cross border activities, regulatory reporting and other compliance initiatives

  • Stakeholder Management : Conduct meetings with internal stakeholders, and external stakeholders (agent banks) to assess issues, performance and service levels
  • Understand Regulatory requirements in relation to account opening and closing - KYC, AML, Due Diligence
  • Ongoing escalation to keep Managers updated on progress
  • Key Skills :

  • Good knowledge of the financial market
  • Good working knowledge of the regulatory regime in Hong Kong under the remit of SFC, HKEx and HKMA as a minimum
  • More than three (ideally 5+) years’ solid experience in Compliance or Legal, preferably with bulge bracket firms
  • A quick learner, detail-oriented, with the ability to analyse complex regulatory requirements
  • Good communicator, confident and able to host meetings with regional colleagues independently
  • Good research and drafting skills
  • Creative and be able to think outside the box in order to drive outcome. The ability to express ideas through powerpoint slides is essential
  • Good team player, strong sense of ownership and responsibility, flexible and be able to prioritise tasks
  • Must be able to use excel to analyse data, powerpoint, word etc.
  • Client Overview :

    Our client is a US-based Investment Bank.

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