Compliance

• Execute daily Business As Usual (BAU) operational tasks, ensuring deliverables are completed accurately and on schedule
• Prepare and maintain comprehensive operational reports to support management’s decision-making, audit readiness, and record-keeping
• Partner closely with Client Support, Product, and IT to streamline operational workflows and enhance process efficiency
• Learn, adapt to, and optimize internal compliance platforms, software tools, and data systems
• Develop and manage ongoing banking relationships
• Conduct in-depth account reviews and identify outliers in transaction flows, day-to-day activity, and changes in corporate structures

Senior Compliance Operations Associate

• Oversee and maintain day-to-day transaction flows, including monitoring, screening, and investigations
• Assist in enhancing and refreshing monitoring processes and controls
• Analyse situations to identify AML issues and red flags, gaps and risks in KYC information and transactions
• Collaborate with counterparties to ensure AML controls are executed properly and in a timely manner
• Support businesses with timely advice on AML-related matters as the subject matter expert on AML
• Enable business growth while balancing risk awareness and managing money laundering and fraud risks
• Keep abreast of changes to regulatory requirements and emerging risks in an evolving regulatory landscape

Senior Compliance Operations Associate, Transaction Monitoring

• Assist the AVP/Managing Director with the full-spectrum work of Listed or IPO portfolios
• Act as Named Company Secretary when required
• Advise domestic and international clients on legal entity compliance, governance, and transaction-related matters
• Develop subject matter market insights, technical knowledge, service delivery templates, processes, tools, and materials
• Support governance advisory and managed service client engagements locally and globally
• Support business development and client relationship management activities
• Maintain relationships with clients and other professional working parties
• Support onboarding of IPO and Listed clients in accordance with company policies and processes
• Assist the Manager with following up aged debts and ad hoc assignments
• Collaborate with teams in other departments on pursuits
• Monitor internal and external influences to help shape the continuous growth and development of the Governance Services business and offering

Compliance jobs in Hong Kong

Senior Compliance Operations Associate

Senior Compliance Operations Associate, Transaction Monitoring

Manager, Entity Governance Compliance