Norton Rose Fulbright Careers
Job Description
Senior Risk and Compliance Officer
Job Location
Hong Kong
Practice Group/Department
Risk and Compliance
Role
Business Services
Job Title
Senior Risk and Compliance Officer
Work Type
Full Time
Description
Norton Rose Fulbright Hong Kong is part of Norton Rose Fulbright, a
global legal practice providing the world's pre-eminent corporations
and financial institutions with a full business law service from
offices across Europe, the United States, Canada, Latin America, Asia,
Australia, Africa and the Middle East.
We currently have an opening for a Senior Risk &
Compliance Officer position in our Hong Kong office.
Role or Job Responsibilities:
The role will be based in Hong Kong and
will report to the Senior Regional Risk & Compliance Manager, also
based in Hong Kong, and the Head of Risk & Compliance (Middle
East & Asia) . Our firm's business acceptance processes cover two
primary areas: (i) Client Due Diligence (CDD); and (ii) the
identification and management of conflicts of interests. The role will
involve work across both of these areas as well as dealing with other
ad hoc compliance queries and projects, including:
Conflicts and Client Confidentiality
- Assessing new matters for conflicts of interests, with reference
to the firm's conflicts databases, internal Conflicts Principles and
applicable professional rules.
- Liaising with client-facing staff to obtain factual and other
information about their prospective new matters, to enable informed analysis.
- Advising fee-earners of new matter clearance conditions and client
consent requirements, where applicable.
- Providing training, support and on-going assistance to staff and
function team members with respect to our new matter clearance processes.
- Managing security and information barriers/ethical walls.
Anti-Money Laundering (CDD) / Sanctions / Reputational Risk
- Conducting CDD risk assessments on new and existing clients, and
verifying information about them with reference to reliable and
independent source documentation.
- Assessing new matters with regard to known money laundering
typologies in the legal sector, reputational risk and sanctions exposure.
- Liaising with client-facing teams to obtain information and
documents about/from our clients, where necessary.
- Providing reasoned recommendations to senior management with
respect to perceived high risk clients and matters.
- Training and assisting staff and other team members with respect
to our policies, procedures, systems and controls.
Other tasks
- Guiding and training fee earners and PAs on the use of our risk
& compliance systems.
- Supporting the Senior Regional Risk & Compliance Manager and
Head of Risk & Compliance, Asia & the Middle East with
various other risk & compliance projects and tasks, as required.
- Monitoring developments in anti- financial crime and legal
services laws in the UK, Europe, Middle East & Asia.
Qualifications and Attributes
- Ability to communicate confidently with senior figures
- Advanced computer skills and technological awareness
- Organisational and project management skills
- Aptitude for research and familiarity with online research tools
and databases
- Ability to draft clearly and explain complex issues
- Accuracy and an eye for detail
- Sound commercial and risk judgment
- At least 3 years' experience working in risk & compliance or
legal functions, ideally in another law firm, professional services
firm or financial institution
- Willingness to work flexible hours as needed to serve the
requirements of the global firm
- Law, business or humanities degree, or other relevant
qualifications (desirable)
Competitive salary package will be offered to the right candidate.
To apply for this position, please submit your covering letter along
with your CV by clicking on the 'Apply' button below.
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