Legal and Compliance HK, Asia Monitoring and Testing, Associate/Manager

Description

A global financial services firm headquartered in New York City serving a diversified group of corporations, governments, financial institutions, and individuals. The Company also operates in 36 countries around the world, with over 600 offices and a workforce of over 60,000.
Responsibilities

Asia-Pacific Compliance seeks a candidate for a Professional position in the Asia Monitoring and Testing Team. The successful candidate will actively assist in several areas of responsibility:

* Running the Risk Assessment framework
* Carrying out in-depth reviews

Running the Risk Assessment framework will involve: -

* Coordinating the application of the risk assessment process in Asia Pacific and collating and presenting results
* Determining appropriate actions to match the results and ensuring these are carried out -
* Helping Asia-Pacific coverage officers in annual planning of in-depth reviews.

Carrying out In-depth reviews will involve:

* Analysis of regulations and internal rules for each review topic
* Interviews with business employees responsible for a particular area and review of working materials
* Detailed documentation of review work-papers
* Identification of areas requiring attention and assessment of relative risk
* Presentation of findings and recommendations to Compliance and business area managers
* Following-up on review findings until resolution

The incumbent will have the opportunity to participate regional and global compliance monitoring and testing programs in addition to involvement in the wider activities of the Asia Compliance team and is expected to make contributions outside of the specific scope of their role.

The successful candidate will report to the Asia Compliance Monitoring and Testing Coordinator.
Requirements

The ideal candidate will have at least 3 years of relevant experience in the industry. Experience in the following areas is required:

* Investment banking (particularly securities trading)
* Analysis of businesses and risk, (e.g. for regulatory compliance, due diligence or auditing)

Skills Required:

* Structured and analytical approach
* Confidence and ability to interview business managers to gather relevant information
* Attention to detail
* Good documentation skills
* Ability to learn new topics quickly
* Good judgment of issues and risk
* Strong written and verbal communication skills in English

Legal and Compliance HK, Asia Monitoring and Testing, Associate/Manager - Hong Kong