Trainee, Advisory Compliance

Banking / Finance • Full Time • Hong Kong, HK • 4h ago

Natixis Corporate & Investment Banking is a leading global financial institution that provides advisory, investment banking, financing, corporate banking and capital markets services to corporations, financial institutions, financial sponsors and sovereign and supranational organizations worldwide.

Our teams of experts in close to 30 countries advise clients on their strategic development, helping them to grow and transform their businesses, and maximize their positive impact. Natixis CIB is committed to aligning its financing portfolio with a carbon neutrality path by 2050 while helping its clients reduce the environmental impact of their business.

As part of Groupe BPCE, the second largest banking group in France through the Banque Populaire and Caisse d’Epargne retail networks, Natixis CIB benefits from the Group’s financial strength and solid financial ratings (Standard & Poor's: A+, Moody's: A1, Fitch Ratings: A+, R&I: A+).

Main Responsibilities:

Detect and prevent compliance risks linked to business activities. Guarantee observance of all the compliance rules and procedures, including but not limited to, core compliance, financial crime compliance and compliance controls.
Assist the Advisory Compliance team in ensuring the Firm and its staff comply with the relevant laws and regulations and internal policy and procedures.
Conduct research on regulatory requirements and industry best practices and assist in the development and implementation of compliance policies and procedures.
Assist in monitoring and surveillance of Compliance and regulatory risks.
Participate in compliance audits and assessments and assist in consolidating information/documents for regulatory inspection/assessment/ questionnaire.
Coordinate with local and regional stakeholders to manage the delivery of compliance works for assigned projects.
Lend support to administrative tasks (e.g. translation, filing) for compliance/audit reports or local language regulations.
Assist in preparing reports on compliance-related activities.
Provide support for new product review processes.
Provide support for compliance training and awareness programs.

Assist Head of Compliance, Taiwan to ensure effective implementation of all compliance requirements applicable to Natixis Taipei Branch, including but not limited to, regulatory watch, core compliance, financial crime compliance, and compliance controls.
Provide support for regulatory watch matters, such as Chinese official letter handling, coordination of gap analysis, policy updates, compliance culture promotion, etc.
Be responsible for preparing core compliance works for manager’s review, topics ranging from monitoring and testing of registration/licensing, personal account dealing, gift entertainment, to outsourcing governance, training delivery, etc.
Assist in the provision of financial crime compliance works such as KYC review, risk assessment, alert disposition and escalation, AML/CFT/KYC audit matters.
Act as a key contributor to Natixis’ compliance testing works as well as a capable coordinator and reviewer of local regulatory compliance self-assessment exercise. Also, assist Head of Compliance, Taiwan to handle internal/external/regulatory audit queries.
Work in an agile manner to complete the ad-hoc assignments from the manager. For example, prepare responses to ad-hoc regulatory queries, provide administrative support on translation/filing, or closely follow up with assigned local/regional projects.

Required Skills:

Bachelor degree in Banking & Finance/Business/ Accountancy/Law and its equivalent.
Keen interests and entry level of understanding & knowledge in financial markets practices and products.
Good communications and writing skills with strong interpersonal and analytical skills.
Fluent English and Mandarin in spoken and written.
Able to use Microsoft word, excel and power point for preparing fit-for-purpose reports and presentations

Location: Flexible in Taiwan

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