Compliance Expert for Asset Management

6 days ago


Central And Western District, Hong Kong SAR China Northern Trust Full time
Senior Compliance Analyst

Develop your career in international asset management based compliance with Northern Trust. Our APAC Asset Management Compliance team supports compliance programs and activities across APAC and within a global framework.

We partner with compliance team members and managers, as well as staff in business units to provide consultation and advice on regulatory matters. As a Senior Compliance Analyst, you will conduct compliance monitoring and testing activities, focusing on areas of portfolio management and trading, surveillance, and conduct obligations.

You will coordinate such APAC activities with EMEA and US counterparts. This role requires proven experience in advising and/or monitoring of asset management business, with a strong background in and understanding of investment management products and services, including knowledge of securities, cash, and derivatives market instruments.

A working knowledge of SFC regulations, while also benefiting from international exposure e.g. other APAC regulators, is essential. Prior experience in the interpretation and analysis of industry standards, analytical ability to identify and understand problems and provide effective solutions, are highly valued.

This is a highly motivated individual who has a proven record of using initiative to resolve problems, able to make decisions on their own and be a team player and effective communicator, with excellent verbal and written communication skills.

About Us

Northern Trust is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. We provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity.

We value work-life balance, career mobility, and unique opportunities, which is why we've been named one of the world's most admired companies.



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