Senior Compliance Associate
WorldFirst
Causeway Bay, Hong Kong
6天前

The Senior Compliance Associate is responsible for providing support to the Compliance Operations Team Lead ensuring that a robust and comprehensive Compliance and AML program is maintained for our business in the region.

The nature of the FX market means a constantly changing work load so you’ll also need to be able to manage your time effectively and work to a deadline.

This is a highly rewarding position for the right candidate and an excellent career opportunity.

Key responsibilities :

  • Monitoring of initial and on-going Know Your Customer (KYC) requirements
  • Reviewing account activity through the transaction monitoring system and investigating any suspicious payments received
  • Building relationships with other WF teams and providing regulatory advice and guidance
  • Understanding changes in regulations and the impact on the business, and assisting with the development of internal processes
  • Risk based review of existing client accounts
  • Escalating any suspicious activity to the MLRO
  • Assisting with Compliance Investigations as appropriate
  • Training new starters and assisting with delivery of ongoing training to the rest of the team
  • Act as a role model to others in the team through clearly demonstrating the WF values
  • Assisting team leaders with some business as usual tasks e.g. further information requests, collation of monthly management information
  • Assisting team leaders with special investigations / projects e.g. AML regulatory research, review of client data to identify trends etc.
  • Key Capabilities :

  • Prior experience in Compliance Operations is required and the candidate should have a good understanding of the financial services environment and regulation.
  • Ability to work efficiently when under pressure and maintain quality of detailed work while meeting set deadlines
  • An ability to understand legal and regulatory requirements and to apply them to business practices
  • Professional manner and excellent communication skills
  • Able to build effective relationships across the business
  • Willingness to undertake further study to develop within Compliance
  • Enthusiastic and passionate about ensuring that work is completed to a high quality standard.
  • Collaborative and supportive with the team and colleagues across the organization, while still being able to work independently when needed.
  • Strong analytical skills, in particular the ability to draw logical conclusions from a range of diverse source materials and present them in a clear and engaging way.
  • The gravitas and relationship skills to build and maintain relationships with senior management
  • Good understanding of the Hong Kong & China financial services environment and regulation, especially the area of financial crime
  • At least 2 years of compliance / KYC / AML experience
  • Excellent command of English and Chinese (Cantonese and Mandarin)
  • Salary and Benefits :

  • A competitive salary, commensurate with experience
  • An excellent benefits package including Mandatory Provident Fund; health, dental and life insurance; enhanced maternity and paternity leave policies
  • 20 days holiday, birthday day off, charity leave, 3 life event days during your career with WorldFirst
  • Perks, including : free breakfast, Friday beer fridge, business casual dress code, annual company parties and more!
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