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Alexander Lau

Compliance Associate |

Why do you enjoy your job?

Working in compliance is very interesting and varied and never boring – the breadth of assignments you can do is in some senses limited to your imagination! There are always new tests to develop and new regulatory rules to understand and apply to the business, in addition to issues and queries from throughout the business which need to be addressed with a logical, analytical and efficient mindset.

What is the most challenging thing about your job?

The most challenging aspect of my job is being able to keep on top of the different tasks that I am responsible for. This could be related to the day-to-day monitoring (there are multiple surveillance tests I am responsible for) as well as longer term projects, compliance reviews or ad-hoc requests that I help to work on. Managing your time and being able to prioritise effectively is key for any job but I think this is especially true in my role.

How did you get into your job?

I’ve always had a keen interest in financial services and have had multiple short-term experiences in banks ranging from credit risk in Deutsche Bank and JP Morgan to a debt capital markets internship at RBS. Since graduating from LSE with a degree in economics, I briefly worked in a recruitment agency in a business development role before applying for a variety of graduate schemes in a wide range of industries from digital marketing to retail and including this this role. Funnily enough, whilst I was open-minded to other opportunities, I find myself back in financial services again. It’s still the challenging and demanding industry I am familiar with and I am thoroughly enjoying my experience on the Investment20/20 programme.

What are your future aspirations?

Ultimately, my ambition is to quickly progress my career within financial services. I find the industry highly stimulating and dynamic to work in and I will need to adapt my skills accordingly to keep up with the many changes to regulation, competition and technology. In the short term, I hope to complete the Investment Management Certificate and the Chartered Financial Analyst qualifications. Eventually I would like to manage a team of my own at a senior level and be known as someone who people trust and can rely on to deliver outstanding results.

How would you sum up your Investment20/20 experience?

A rare opportunity that offers a chance to gain invaluable experience and the ability to develop multiple transferable skills in order to carve out a fulfilling and ambitious future career.

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