VP/ Associate Director, AML Compliance – Equities/ Securities

VP/ Associate Director, AML Compliance – Equities/ Securities

Team Lead, Trade Surveillance & AML Monitoring

Location: Hong Kong

Main Duties and Responsibilities:

1. Covering and manging the team for  AML/CTF, Trade Surveillance/ Monitoring  and FATCA/CRS
2. Provide AML/CTF guidance and advisory to the senior management and to business and support units.
3. Develop and implement AML/CTF policies, procedures, and monitoring programs for relevant business activities.
4. Member of the AML Committee, prepare the agenda and minutes of the meeting and report to the relevant regulators/authorities within the stipulated timeframe as appropriate.
5. Manage the transaction monitoring framework and process, implementing effective methods to identify suspicious transactions.
6. Develop AML/CTF awareness and training and provide regular training to staff and representatives.
7. Design compliance surveillance / monitoring programs and conduct compliance AML monitoring and reviews on products and business units under the VPs responsibility area. 
8. Handle ad-hoc investigations, customer complaints, suspicious transactions reviews etc.  Report non-compliances in accordance with protocols and suggest actions for resolution, compliance improvement planning etc.
9. Manage the HK operations FATCA/ CRS compliance and other upcoming common reporting standard
10. Handling the head-quarters enquiries and acting as the focal point to coordinate any information/report to be provided to the headquarters.
11. Liaise with management, business, operations and other relevant departments, auditors and regulatory authorities on compliance matters and issues.
12. Perform follow-up reviews to verify the implementation of recommendations from regulators, external and internal auditors, assist to resolve compliance-related findings and issues identified.
13. Keep abreast of the latest legal and regulatory requirements.  Promote compliance awareness and compliance culture (including preparation of compliance training materials and conducting compliance trainings).

Job Specification/ Work Tasks:

1. Qualification

-     University degree in Accounting, Business, Law, or related discipline

1. Experience                

        -     Minimum 5+ years solid experience in AML compliance, preferably with trade surveillance experience,  audit or related field in the financial services sector or with regulatory authorities. 

               Direct AML experience with CAMS or similar qualifications is a plus.

-     Experience in performing compliance or similar training, development of policies and procedures (and related guidelines), and the conduct of compliance review and investigations.

-     Experience working in Chinese SFC licensed firms  are highly desirable  

1. Knowledge / Other Skills

-     Sound working knowledge of

(i) AMLO.

(ii) the  SFCs SFO and sub-circulars/ regulations; and

(iii) other regulations which may related to securities business activities (e.g. those enforced by CIB, MPFA, SEHK, HKFE, JFIU).

-     Good command of written and spoken English and Chinese (Mandarin or/ Cantonese).

-     Strong ethics, outspoken, integrity and enthusiasm.

-     Good leadership/ team mentoring, excellent communication\ skills (oral & written), interpersonal, analytical and strong presentation skills.

This is an important position for our client, and the search mandate is personally managed by one of our Associate Directors Terry Au, supported by our Managing Partner for our Compliance, AML and  Regulatory Search Practice. Edward Chen.

Please send an updated resume in English to:

CV(@)harbridgepartners(dot)com,

Please include your notice period, reasons for seeking new employment,  and salary expectations in your email application.

Thank you.

Harbridge Partners Limited   

Hong Kong Employment Agency License: 71892