Responsibilities:
• Report to Senior Compliance Manager and work closely with Head of Risk Management & Strategy Group for supporting business operations
• Keep the up-to-date regulatory and legislative changes such as the circulars and e-mail correspondence issued by HKMA, SFC or other concerned parties etc.
• Prepare and submit regulatory reports, filings, surveys, application forms and disclosures accurately within specified deadlines in responding to regulators enquiries
• Review KYC and CDD checking by business units and assist to deal with other AML/CTF issues or related tasks
• Conduct transaction monitoring alters review and resolve
• Perform and review quality control testing on KYC, Transaction monitoring and sanction screening
• Prepare or review compliance reports and provide support to management and other business units
• Assist in revising and updating all the relevant internal compliance and control policies and procedures
• Assist in handling related examinations/sel
Requirements:
- Preferably a degree holder in Law, Accounting or related discipline applicable to finance and/or regulation.
- Minimum 3-6 years of general compliance, AML, or FCC related experience in a sizable financial institutional or professional firm.
- Knowledge of Banking Ordinance, securities laws, bank operations, products and services would be advantageous.
- ECF on compliance/AML related qualification e.g. ACOP, AAMLP or equivalent is preferable.
- Willing to learn, positive working attitude, self-motivated, well organized and presented, independent with good communications skills at all level.
- Good command of written and spoken English.