Senior Compliance Analyst

Job Description

Who we are

Aberdeen Investments is part of Aberdeen Group plc one of the UKs leading Wealth & Investments groups.

Strengthening talent and culture is one of our strategic priorities. We strive to make Aberdeen a great place to work so that we can attract and retain the industrys best talent.

Our people put our stakeholders at the heart of everything they do by helping us to make a positive difference to the lives of our clients customers colleagues shareholders and society.

We are repositioning our specialist asset management business to meet client demand and are committed to providing excellent client service supported by leading technology and talent.

As a global business Aberdeen consists of three divisions: Investments Adviser and interactive investor (ii). Each division is dedicated to meeting and adapting to our clients evolving needs.

Our Asia Pacific Investments business has a large dedicated and highly experienced investment team which has been investing across the region since 1985 and manages all our Asian products including regional country smaller companies and sustainable investing propositions.

The team has a strong regional footprint with offices in Singapore Bangkok Kuala Lumpur Tokyo Hong Kong Shanghai Seoul and Sydney. This breadth gives us close proximity to the companies we own and the markets we invest in. Our APAC operations have been based in Singapore since 1992. We invest in Asian companies to grow with them and to help them to become better investors

Role Overview
The Senior Compliance Analyst reports to the Head of Compliance Hong Kong and supports the Hong Kong Compliance team by delivering a risk-based compliance programme providing regulatory advice to business stakeholders and maintaining effective compliance processes and controls.
The role partners closely with internal teams (including Distribution Product Operations and Risk) and external stakeholders (e.g. regulators auditors and clients) to ensure the firm meets its regulatory obligations across Hong Kong and relevant cross-border activities across Greater China.

Key Responsibilities
Compliance Monitoring & Oversight
Deliver monitoring reviews end-to-end in accordance with the risk-based monitoring plan
Contribute to the design and enhancement of the compliance monitoring programme
Identify control gaps and track remediation actions
Support monitoring and oversight planning including risk assessments and thematic reviews

Advisory & Regulatory Guidance
Provide compliance advice on SFC and cross-border regulatory requirements
Review marketing materials and distribution activities
Support regulatory impact assessments
Deliver or coordinate compliance training

Core Compliance Processes
Perform tasks relating to licensing CPT PA dealing gifts & hospitality
Maintain compliance registers policies and procedures
Support policy updates
Perform AML second line oversight activities

Regulatory Engagement & External Coordination
Support regulatory inspections and audits
Regulatory filings to the SFC
Respond to regulatory and external stakeholder queries
Represent Compliance in relevant forums

Projects Change & Continuous Improvement
Track regulatory developments and impact analysis
Support or lead compliance projects
Drive continuous improvement initiatives

Reporting
Prepare compliance reports and governance materials
Ensure timely reporting deliverables

Qualifications & Experience
2 to 4 years of experience in compliance within asset management or financial services
Strong knowledge of Hong Kong SFC regulations and cross-border requirements
Understanding of compliance monitoring and control testing
Ability to interpret regulations and provide practical guidance
Strong organisational and communication skills
Relevant degree or professional qualification