Compliance Analyst Position

1 week ago


Hong Kong, Central and Western District, Hong Kong SAR China Northern Trust Full time

Northern Trust, a globally recognized financial institution with over 130 years of experience, is seeking an experienced Compliance Analyst to join its APAC Asset Management Compliance team. As a key member of the team, you will be responsible for providing support to compliance programs and activities across APAC and within a global framework.

Partnering with compliance team members and managers, as well as staff in the business units, you will provide consultation and advice on regulatory matters, conduct compliance monitoring and testing activities, focusing on areas of portfolio management and trading, surveillance, and conduct obligations. You will also coordinate such APAC activities with EMEA and US counterparts.

  • Monitoring and testing of the APAC-wide regulatory and corporate compliance obligations
  • Supporting execution of the global trade and communication surveillance programme
  • Providing technical research and consultation to support compliance programs and initiatives
  • Assist in the development and maintenance of compliance frameworks and related policies and procedures
  • Providing ad-hoc project support as required, and support senior members of the department in the identification, planning and execution of the department's activities


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