Regulatory Compliance Associate

Regulatory Compliance Associate

Reporting to the Regulatory Compliance Manager, the Regulatory Compliance Associate will work closely with Compliance across the group and other areas of the business to ensure required policies are maintained and communicated.   In order to be successful in this role, you’ll be a real stickler for detail who enjoys getting to the bottom of things alongside being a strong written communicator.  The nature of the FX market means a constantly changing work load so you will also need to be able to manage your time effectively.  This role will carry a high degree of autonomy, working within the friendly and supportive compliance team and the wider business. 

 

Key Responsibilities

To support the Regulatory Compliance Manager in adhering to relevant regulatory requirements including:

  • Conduct regular compliance reviews, carry out risk control and monitor the regulatory and operational risk of the company
  • Identify regulatory compliance risks and provide necessary analysis, advice, solutions and support
  • Review regulatory change, interpret rules and communicate the impact and oversee required changes as appropriate
  • Monitor changes to business practice and products, resolve issues including the specification of processes, procedures and system enhancements from a regulatory compliance perspective to ensure adequate controls
  • Identify regulatory compliance gaps, implement and update necessary procedures and policies to ensure compliance with all relevant laws, regulations, codes in different markets
  • Maintain required compliance policies and registers, ensuring policies are reviewed and updated at least annually.
  • Report all actual and potential breaches of applicable laws and regulations
  • Research, study and interpret regulatory developments and advise on its impact to business, provision of practical and compliant solutions
  • Communicate with process owners in a professional and proactive manner 
  • Assist Regulatory Compliance Manager with other ad hoc projects or reviews as required

Key competencies/experience

  • Bachelor degree in Accounting / Finance / Law
  • Minimum 1-2 years of experience in Compliance, Audit or Risk assessment in a regulated financial institution.  Outstanding candidates with more experience could be considered for a senior associate role. 
  • Knowledge of CDD / AML and key regulations (SFC, HKMA, or other Asia Regulators’ requirement) is preferred
  • Experience in FX and/or payment services preferred
  • Good interpersonal and communication skills to communicate with internal process owners effectively
  • Able to prioritize multiple projects and deadlines.
  • Attention to details
  • Strong team work and communication skills



What we offer:

  • Open, friendly, fun-loving international working environment
  • Excellent benefits package including annual performance-based bonus and health cover
  • Free breakfast, holiday options, family leave, Volunteer day

To apply:

Please send us your cover letter together with your CV in Word format.

Personal data collected will be used for recruitment purposes only.


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