Compliance Expert for Risk Management and Regulatory Affairs

5 days ago

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

About Northern Trust:

Northern Trust, a globally recognized financial institution, has been in continuous operation since 1889. We are an award-winning Fortune 500 company providing innovative financial services to the world's most successful individuals, families, and institutions.

Our enduring principles of service, expertise, and integrity have enabled us to serve our clients using leading technology and exceptional service. With over 130 years of financial experience and more than 22,000 partners, we pride ourselves on delivering unparalleled results.

Job Overview:

We are seeking a highly skilled Compliance Expert to join our Global Compliance and Corporate Risk function. This role will focus on ensuring identification, risk assessment, and monitoring of all regulatory obligations in the locations we operate.

The Hong Kong Financial Crime Compliance Partner will work closely with business partners and compliance teams to ensure adherence to anti-money laundering, sanctions, politically exposed persons, and anti-bribery and corruption requirements. This role will also assist the Hong Kong MLRO with day-to-day management and oversight of Anti-Money Laundering and Counter Terrorist Financing for The Northern Trust Company of Hong Kong.

Key Responsibilities:

  • Maintain procedures for countering financial crime, including money laundering, sanctions, politically exposed persons, and anti-bribery and corruption
  • Provide AML advisory to business partners across various lines of business, including Asset Servicing, Asset Management, and Wealth Management
  • Monitor and implement financial crime regulatory changes in Hong Kong
  • Partner with management and business partners to implement financial crime compliance programs
  • Embed the Northern Trust framework for identifying and documenting local financial crime compliance obligations
  • Conduct gap assessments between existing and new regulatory compliance obligations and global policies and procedures
  • Assist in conducting Enterprise Wide Risk assessments annually or as required
  • Review suspicious transaction monitoring conducted by a centralized team
  • Develop and conduct financial crime compliance monitoring activities
  • Provide training on new and existing developments related to financial crime compliance
  • Assist in preparing AML reporting for internal committees and boards
  • Identify areas for control enhancement and define additional Financial Crime Compliance controls to minimize risk profile
  • Ensure adherence to global requirements
  • Work in partnership with the wider Compliance, Financial Crime Compliance, Risk, and Controls teams

Requirements and Qualifications:

  • Proven experience in a similar role with a strong understanding of local anti-money laundering and other anti-financial crime laws and regulations
  • Knowledge of custody, asset servicing, fund administration, securities lending, asset management, and wealth management businesses would be beneficial
  • Fluent in English with excellent communication skills (verbal and written)
  • Preferring native or professional proficiency in Mandarin
  • ACAMS or other relevant certification is preferred
  • Able to collaborate and maintain positive partnerships with business partners while remaining objective

About Working at Northern Trust:

We value flexibility, collaboration, and innovation in our work environment. As a partner at Northern Trust, you will have the opportunity to grow your career with a financially stable organization committed to excellence and customer satisfaction. Join us in shaping the future of our company and exploring new ideas to drive success.

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