Compliance Manager (TCSP License)

Responsibility:

• Conduct customer investigations, anti-money laundering (AML), and counter-terrorist financing (CTF) procedures, including relevant data inquiries.
• Review compliance documentation submitted by clients, perform risk assessments on clients wealth sources, and ensure alignment with the companys compliance risk management framework.
• Review trust structures, trust documentation, and other legal agreements to mitigate compliance risks. Provide actionable recommendations on identified risks and escalate suspicious transactions or risks to the Compliance Manager in a timely manner.
• Serve as the primary point of contact for regulatory authorities, maintaining daily communication and coordinating cross-departmental efforts to address regulatory inquiries, inspections, and post-inspection remediation follow-up.
• Establish and optimize the companys compliance management systems and processes. Advise senior management on compliance strategies, regulatory updates, and risk mitigation measures.
• Organize and archive transaction-related documents to ensure audit readiness and regulatory compliance.
• Develop and conduct internal compliance training programs to enhance staff awareness of AML/CTF regulations, compliance obligations, and risk management practices.
• Assist the Compliance Manager in periodically updating and refining internal AML/CTF policies and procedures in response to evolving regulatory requirements.

Requirement

• Degree holder in Law, Finance, Economics or related discipline.
• Around 3 to 6 years of compliance experience in financial services. Private trust compliance experience is highly preferred.
• Fluent in mandarin is a must.