Hong Kong and Greater China Financial Crime Compliance Specialist

1 month ago

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

Northern Trust is a leading global financial institution with a rich history dating back to 1889. As a Fortune 500 company, we have established ourselves as a trusted provider of innovative financial services and guidance to the world's most successful individuals, families, and institutions.

Our Commitment to Compliance

We are committed to maintaining the highest standards of compliance and risk management across all our operations. Our Global Compliance and Corporate Risk function is responsible for ensuring that we identify, assess, and monitor all regulatory obligations in the locations we operate.

Job Summary

We are seeking a highly skilled Financial Crime Compliance Specialist to join our team in Hong Kong. The successful candidate will work closely with our business partners and compliance teams to ensure adherence to applicable anti-money laundering, sanctions, politically exposed persons, and anti-bribery and corruption requirements.

Key Responsibilities
  • Maintain and update Hong Kong-related procedures for countering financial crime, including money laundering, sanctions, politically exposed persons, and anti-bribery and corruption.
  • Provide AML advisory services to business partners across various business lines, including asset servicing, asset management, and wealth management.
  • Monitor, assess, and implement financial crime regulatory changes in Hong Kong.
  • Partner with management and business partners to implement financial crime compliance programs, including training on such programs.
  • Embed the Northern Trust framework for identifying and documenting all local financial crime compliance obligations through rules mapping, risk assessments, monitoring, and regulatory change management processes.
  • Conduct gap assessments between existing and new local regulatory compliance obligations and global/regional policies and procedures, and develop additional controls as required to comply with local obligations.
  • Assist the MLRO in conducting Financial Crime Compliance Enterprise-Wide Risk assessments and compliance risk assessments annually or as otherwise required for HK.
  • Review suspicious transaction monitoring conducted by a centralized team.
  • Develop and conduct other financial crime compliance monitoring activities for the HK business.
  • Provide training on new and existing developments related to coverage area.
  • Assist the MLRO in preparing AML reporting, including for internal committees and boards.
  • Identify areas for control enhancement in either the first or second line of defense, define, and implement additional Financial Crime Compliance controls to minimize TNTC's risk profile.
  • Ensure adherence to global requirements.
  • Work in partnership with the wider Compliance, Financial Crime Compliance, Risk, and Controls teams.
  • Support AML/KYC matters in relation to the onboarding/periodic review of Japan and Singapore-incorporated clients which are contracted to TNTCHK or serviced by Hong Kong.
China Financial Crime Compliance
  • In consultation with the China and Hong Kong MLRO, provide advice on local financial crime compliance laws and regulations.
  • Drive business acceptance of financial crime risks.
  • Assist the HK MLRO to oversee China branch's AML activities by reviewing and providing input into policies, the Enterprise-Wide Risk Assessment, financial crime rules mapping, gap assessments, etc.
  • Assist the China MLRO to provide training to China partners.
Requirements
  • Proven experience in a similar role.
  • Good knowledge of local anti-money laundering and other anti-financial crime laws related regulations (e.g., SFC, PBOC, CBIRC) and relevant laws.
  • Knowledge of custody, asset servicing, fund administration, securities lending, asset management, and wealth management businesses would be preferred.
  • Fluent in English and ability to communicate in a clear, concise, and effective manner (verbal and written).
  • Preference for native or professional proficiency in Mandarin.
  • Experience in implementing anti-money laundering and other financial crime compliance laws and regulations.
  • ACAMS or other relevant certification preferred.
  • Ability to collaborate and maintain positive partnerships with business partners while at the same time remaining objective, with an ability to make an independent assessment of the risk environment and business challenges, and work toward practical risk mitigation actions.
  • ACAMS certification preferred.
  • Experience providing compliance advisory and operational support for Hong Kong and China.
  • Strong organizational skills, a collaborative approach to work, with strong interpersonal skills.
  • Ability to use initiative and work unsupervised in a proactive manner.

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