Key Responsibilities
- Review KYC documentation on new account opening and perform transactions screening and monitoring in compliance with Group Policy and relevant anti-money laundering requirements.
- Trades monitoring including staff personal dealings and assist in management of transactional conflicts of interest.
- Prepare and update policies and procedures in line with Group Policy and with regard to local laws, rules, regulations and guidelines.
- Assist in providing advice and support to the business units with regard to potential regulatory impacts of relevant laws, rules, regulations and guidelines.
- Assist in providing relevant trainings to staff on changes and development of laws, rules, regulations and guidelines.
- Assist in ensuring all relevant staff are properly registered with regulators as appropriate and comply with relevant licensing requirements.
- Assist in the preparation of regulatory reporting, filings and self-assessments as required.
- Assist in performing compliance review on business units in accordance with the standards and guidelines contained in the compliance monitoring plan.
- Assist in any other ad hoc projects.
Qualification & Experience
- Degree holder in Finance, Accounting or Laws
- At least 2 years relevant experience in compliance field or audit firms
Knowledge & Skills
- Knowledge of regulatory and compliance requirements in relation to banking business
- Knowledge of banking services and products
- PC literacy (Microsoft Office including word, excel and powerpoint)
Language
• Proficient in written and spoken English
• Proficient in written and spoken Chinese
Other Skills (e.g. Interpersonal, Communication etc)
• Good interpersonal and communication skills
• Customer-oriented
• Self-motivated and be a team player
• Ability to work under pressure