Business Development Associate, Policy & Operations, Hong Kong
Fitch Ratings
Hong Kong
4天前

Position Summary

Fitch Ratings’ Business and Relationship Management (BRM) Group is seeking three (3) Market Research Associate (MRA) level staffers to work in BRM’s Policy & Operations Group based in the U.

S., London, and Hong Kong. The positions involve performing new client onboarding Know Your Customer (KYC) sanctions and anti-money laundering (AML) screening checks, as well as annual KYC recertifications.

Prior KYC, sanctions, and AML screening experience is required. The role will also involve working with global BRM staff to ensure that internal controls, policies and procedures are followed, and that the operations of the BRM organization (and the behavior of its employees) meet Fitch's Code of Conduct and complies with global regulations and other requirements.

The new hires will be responsible for assisting the Policy & Operations Group in implementing all necessary actions to achieve the objectives of an effective and compliant business work environment.

Key Responsibilities

  • Leading Fitch’s KYC onboarding and annual review, the MRA will work in collaboration with BRM’s four lines of business to complete the screening and approval (or rejection) process.
  • Assisting with implementing controls, performing reviews, and ongoing monitoring to ensure BRM does not engage with issuers that are subject to international sanctions.
  • Mitigating and resolving alerts that might arise during the KYC screening process and documenting the resolution.
  • Raise material KYC findings to BRM Policy & Operations senior staff for adjudication and resolution, which could result in further escalation to Fitch’s Legal Department for guidance.
  • Assisting the Policy & Operations Group in coordinating with Fitch’s Compliance and Legal Departments in developing, maintaining and enhancing Fitch’s International Sanctions, AML, and Anti-Corruption Policies.
  • Contribute to preparing responses to internal or external requests for information concerning Fitch’s KYC, sanctions, and AML processes.
  • Working with Fitch’s third-party KYC vendor on enhancements to the KYC platform and processes, including a project to integrate the KYC platform with Fitch’s customer relationship management system.
  • Promoting an overall understanding of existing and new compliance issues and related policies and procedures.
  • Position Requirements

  • Education : A Bachelor’s degree is required.
  • Experience : Candidates must have prior work experience involving KYC, sanctions, and AML screening. Familiarity with compliance, operational, and regulatory procedures and controls is a must.
  • Knowledge of KYC, sanctions, and AML third-party screening platforms (e.g. Dow Jones Risk Center Third Party, Refinitiv) is viewed very favorably.

    Prior work experience in a financial institution, rating agency, or other similar financial services firm (with a focus on compliance, operations and policy matters) also viewed favorably.

    Working knowledge of Salesforce or other customer relationship management software is a plus.

  • Skills : Strong written and verbal communication skills a must. Ability to excel in a team-oriented environment, including the ability to manage tasks independently for the group’s overall success, is required.
  • Proficiency in Microsoft Office applications (i.e. Excel, Word, Outlook, PowerPoint) is required.

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