The Compliance Administrator will be an integral part of the firm, working within the Compliance team to ensure that all client information is accurate and updated in the database with excellent attention to detail. The role will also involve ensuring that management and employees are in compliance with the rules and regulations of regulatory agencies, company policies and procedures are being followed and that behaviour in the organisation meets the minimum firm standards of conduct and risk management.
The post holder will be responsible for and expected to carry out the following duties:
• Receive and process due diligence documents
• Review current KYC files
• Conduct file reviews of retroactive company files
• Research companies to prevent money laundering
• Client and employee conflicts
• Eligible introducer/qualified intermediary recording
• Liaise with internal staff and external third parties regarding general compliance matters
• Ensure that the compliance database is updated in a timely manner
• Report on level of company file complicity
• Provide compliance guidance across the law firm and corporate services
• Assist with the design and implementation of administrative processes and procedures in adherence to firm policy
• Filing and administrative duties
• Other duties as may be assigned
QUALIFICATIONS & EXPERIENCE
• Bachelor degree in business management or a related field required
• ICA or ACAMS International Advanced Certificate in compliance would be an advantage
• Must have the ability to read and write both Chinese and English
• Ability to recognise key compliance risks as they relate to specific types of structures
• Experience with management, board and regulatory reporting
• Experience with client and employee conflicts
• Thorough working knowledge of KYC/CDD
• A minimum of 2 years’ experience in compliance within Latin American and Asian regions would be an advantage
• Excellent communication (written and oral) and organisational skills.
• Fluent English, Cantonese and Mandarin skills required.
• Ability to read and write Chinese is essential.
• Ability to analyze data and pay keen attention to detail