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Compliance Professional

1 week 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 serving the world's most successful individuals, families, and institutions since 1889.

We are committed to providing innovative financial services and guidance by adhering to our core principles of service, expertise, and integrity. With over 130 years of experience and a team of over 22,000 partners, we leverage cutting-edge technology and exceptional service to cater to the complex needs of our clients.

Job Summary:

The Senior Compliance Specialist will be part of our APAC Asset Management Compliance team, operating in an international asset management business. This role offers excellent opportunities for career development in an international asset management-based compliance position.

In this capacity, the incumbent will provide support to compliance programs and activities across APAC and within a global framework. They will collaborate with compliance team members and managers as well as staff in business units to offer consultation and advice on regulatory matters, conduct compliance monitoring and testing activities, focusing on areas of portfolio management and trading, surveillance, and conduct obligations. The role also involves coordinating APAC activities with EMEA and US counterparts.

Key Responsibilities:
  • Monitoring and testing of APAC-wide regulatory and corporate compliance obligations
  • Supporting the execution of the global trade and communication surveillance program
  • Providing technical research and consultation to support compliance programs and initiatives
  • Assisting in the development and maintenance of compliance frameworks and related policies and procedures
  • Providing ad-hoc project support as required, and supporting senior members of the department in the identification, planning, and execution of departmental activities
  • Supporting the wider compliance team as needed

About You:
  • Proven experience in advising or monitoring asset management businesses
  • Strong background in and understanding of investment management products and services, including securities, cash, and derivatives market instruments
  • Working knowledge of SFC regulations, with benefits from international exposure such as other APAC regulators
  • Prior experience in interpreting and analyzing industry standards
  • Analytical ability to identify and understand problems and provide effective solutions
  • Highly motivated individual with a proven record of using initiative to resolve problems
  • Able to make decisions independently and be a team player and effective communicator to ensure issues are resolved appropriately
  • Excellent verbal and written communication skills
  • Dedicated to staying up-to-date on new business and regulatory developments
  • Excellent organizational and analytical skills
  • Knowledge of Excel macros