Our client is a global trading platform and a leading Fintech company. They are exponentially growing within the APAC region with a focus in Hong Kong and Shanghai. Currently, they are looking for a self-motivated, smart, detail oriented and highly organized individual to support its Legal & Compliance department as a Compliance Associate.
The successful candidate will be expected to provide significant support to the team in streamlining current practices and identifying innovative solutions to the compliance requirements.
This role reports to the Head of Legal & Compliance
- Support the maintenance and enhancement of firm wide policies and procedures, for example comparing policy drafts with regulatory new rulings to ensure accuracy and completeness
- Prepare and validate monthly metrics
- Assist with organizing materials for management reporting, which involves analysis of metrics, creation of committee decks and charts
- Supports testing, validation and preparation of the Department’s annual risk assessment
- Gather documentation necessary for examination and audit by external parties.
- Assist in the coordination of examiners, auditors or other third parties as it relates to AML, Sanctions, Banking and Privacy reviews.
- Due Diligence Requests
- Assist with responses to external due diligence requests related to AML
- Bachelor’s degree or above, preferably in finance, economics, law or a related field.
- 3-5 years’ experience in the financial markets (preferably compliance, regulation, legal or tax and Asian markets experience).
- Analytic skills necessary to understand the legal and regulatory issues and markets affecting the industry and the workings and development of the capital markets.
- Knowledge of operational, middle office and front office aspects of the capital markets would be a plus.
- Excellent organizational and project management skills, including the ability to priorities multiple tasks.
- Strong spread sheet, database management and PowerPoint skills.
- Strong verbal and written communications skills for business correspondence and advocacy purposes.
- Fluency in verbal and written English is required; business proficiency in an Asian language, ideally Mandarin Chinese, would be a plus.
Key Personal Attributes:
- Team player
- Good listener and persuasive speaker
- Self-starter with strong organizational skills and work ethic
- Ability to prioritize, work independently, and exercise good judgment
- Proactive and solutions-oriented, able to think outside the box and make connections through lateral thinking
If you are interested in this role, please apply below or contact me for more information.