Compliance Analyst

6 days ago

Hong Kong, Hong Kong SAR China HARBRIDGE PARTNERS Full time

Compliance Analyst - AML Programme (Assistant / Associate)

Location : Hong Kong

 

Responsibilities:

  • Conduct ongoing review and analysis of enterprise clients' AML program/profile and transactions in accordance with established procedures with our clients ' AML group policies.
  • Open to travel; Complete and attend AML site visits in the APAC region.
  • Conduct AML interviews with external Compliance Officers/AML Officers.
  • Advise management by collecting, analyzing, and summarizing data and trends with client relationships.
  • Maintain accurate tracking of assignments and request for documentation to ensure appropriate deadlines are met.
  • Complete detailed AML program assessments of clients.

 

Qualifications:

The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM), a Bank or a similar organization. Alternatively, experience in internal audit, legal, accounting or other control functions of a financial services firm or regulator would be beneficial. Additionally, candidates who have worked in a Compliance / AML department, working closely with the senior management of a firm implementing the day-to-day AML program, will be well-placed for this type of role.

 

The ideal candidate will have previous exposure to and in-depth knowledge of downstream payments and corresponding banking, nesting or omnibus account structures. Ideally have worked in a compliance consultancy, professional services compliance advisory firm.

 

Absent direct industry experience, we will also consider applicants with excellent bachelor's-level educational credentials who have some background in law, accounting, data analytics or similar areas and strong analytical and quantitative skills. Candidates must be focused, adaptable, collaborative, and have strong time management skills to thrive and succeed in a work environment.

 

Preferred Qualifications:

  • High comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems
  • Strong understanding of the inner workings of robust AML programs
  • Excellent oral and written communication skills
  • Detail-oriented with outstanding organizational and project management skills.
  • Ability to work independently and in a small-team environment and to multi-task with minimal supervision
  • ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications are a plus.
  • Capital markets experience
  • Language skills: English (required), Mandarin and Cantonese (preferred)
  • Passport for travel

 

Company Benefits & Perks:

  • Competitive Salary, annual performance-based bonus and stock grant
  • Excellent health and welfare benefits, including medical, dental, specialist and in-patient
  • Competitive package of Annual Leave
  • Daily lunch is ordered in-house with a fully stocked kitchen.
  • Modern offices with multi-monitor setups
  • Great work-life balance
  • Unique opportunity to gain exposure to global financial products, markets and clientele
  • Opportunities for career progression and job scope expansion in a global company with a growing local presence
  • Hybrid work arrangement role permitting

 

 

For a confidential discussion, please send an email with your updated resume or LinkedIn URL, with contact details in the first instance to:

 

cv(at)harbridgepartners(dot)com

 

Contact the retained consultants, Edward Chen or Richard Liu on +852 2523 9955
 

 

Harbridge Partners Limited

Employment Agency License: 75427

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