Anna

My day consists of a variety of responsibilities. On one hand, we have to satisfy the regulatory requirements and firm-wide policies. On the other hand, it is our job to see that the business conducted in PWM runs smoothly. I believe this balancing exercise is the most challenging part of my job. Compliance officers have to rely on their experience to make decisions with great precision. Furthermore, we need to provide solutions in a timely manner since most issues we encounter are very time-sensitive. However, I must say it is very satisfying to receive feedback from PWM professionals and other colleagues about how my work helps them conduct their business, which ultimately benefits them, their clients and the firm.

Though each of us is responsible for different tasks, we always work closely as a team. We update each other about any issues we encounter and share things in a collaborative manner. We also hold team meetings every day to update each other and discuss ways to improve control policies and procedures.

I am currently working on a global project which involves compliance officers from different offices. I learn a lot from their experience and innovation by exchanging ideas with them. It is a golden opportunity for me to be put into a large group of professionals and accomplish tasks that are very challenging.