Asset Management Compliance Expert

2 weeks ago


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

We are looking for a highly motivated and analytical individual to join our APAC Asset Management Compliance team as a Compliance Analyst. In this role, you will be responsible for monitoring and testing APAC-wide regulatory and corporate compliance obligations, supporting the execution of the global trade and communication surveillance program, and providing technical research and consultation to support compliance programs and initiatives.

You will have the opportunity to work with a talented team of professionals who share your passion for compliance and risk management. Our team is committed to delivering high-quality results while fostering a collaborative and supportive work environment.

  • Experience in advising and/or monitoring of 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 international exposure beneficial
  • 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
  • Ability to make decisions on their own and work effectively as a team player and communicator
  • Excellent verbal and written communication skills
  • Desire to stay up-to-date with new business and regulatory developments
  • Excellent organizational and analytical skills
  • Knowledge of Excel macros


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