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AML Compliance Specialist

2 months ago

London, Greater London, United Kingdom Hong Kong Exchanges Full time
Job Description

Job Title: AML Compliance Associate

Job Summary:

We are seeking a highly skilled AML Compliance Associate to join our team at Hong Kong Exchanges. The successful candidate will be responsible for maintaining the core compliance program, with a focus on monitoring and testing, training, and policy development.

Key Responsibilities:

  • Develop and enhance the enterprise-wide compliance framework, monitoring and maintaining compliance with regulatory requirements.
  • Support the Head of Core Compliance in the governance of the Compliance Monitoring Programme.
  • Ensure testing is completed to identify the existence and effectiveness of controls on a risk-based approach, and investigate and report potential issues with mitigation plans in place.
  • Ensure consistency of the compliance program with Group compliance policies and procedures, and formulate, deliver, and review compliance policies in accordance with regulatory and legal obligations.
  • Work closely with the business to ensure all areas have a clear understanding and ownership of their compliance obligations.
  • Assist in developing and enhancing the business in a legally-compliant manner.
  • Provide support and training for the business on compliance obligations as necessary.
  • Work closely with the HKEX compliance team and other HKEX teams to ensure policies and processes are aligned, not duplicative, and streamlined to be business-friendly.

Requirements:

  • Excellent academic record.

Knowledge and Experience:

  • Strong experience of working in compliance within Financial Services (min 3-5 years).
  • Knowledge of and practical experience of existing UK compliance requirements, especially around monitoring and testing of controls and procedures.
  • Knowledge of scoping testing reviews, writing reports, documenting evidence and issues, and tracking remediation.
  • Experience and technical ability to develop into an SME in one or more of the following areas: clearing compliance, operational resilience, FMI governance, technology.
  • Knowledge and practical experience of REC (FCA Handbook in relation to RIEs) and EMIR (in relation to CCPs) is not essential but highly desirable.

Skills:

  • Practical and methodical with an analytical mind-set.
  • Excellent communication (including written communication) and interpersonal skills.
  • Ability to identify and implement improvements in the department's processes.
  • Ability to tailor messaging to different audiences at all levels of seniority.
  • Ability to interpret and solve complex problems.
  • Ability to deliver difficult messages and bring about change through influencing positively.
  • Ability to work independently or collaboratively in a team and to be able to prioritize work and to manage expectations.
  • Ability to manage and mentor junior members of the team and encourage good practice generally.
  • Ability to manage a number of different matters simultaneously.
  • Demonstrate a high level of attention to detail and reasoned judgement at all times.

Personal Qualities:

  • Self-motivating.
  • Able to get on with colleagues in all areas of the business and inspire confidence.
  • Resilient.

About Us:

Hong Kong Exchanges and Clearing Limited (HKEX) is a publicly-traded company and one of the world's leading global exchange groups, offering a range of equity, derivative, commodity, fixed income, and other financial markets, products, and services.

HKEX is a purpose-led organisation which, across its business and through the work of HKEX Foundation, seeks to connect, promote, and progress its markets and the communities it supports for the prosperity of all.