Compliance Manager

Job Duties:

• Provide general support and carry out tasks delegated by the Head of APAC/FCC.
• Offer advisory guidance to APAC business units and local Compliance teams on Sanctions, Anti-Bribery and Corruption (ABC), and Know Your Customer (KYC) matters.
• Assist with pre-clearance and escalations from the Client Services Group during KYC onboarding, renewals, or LEM reviews, focusing on Sanctions, ABC, and KYC issues.
• Conduct periodic reviews of High-Risk clients, evaluating KYC documentation and assessing Sanctions and ABC risks, including updates to the Customer Sanction Risk Assessment (CSRA), Sanctions Compliance Opinion (SCO), and ABC Customer Risk Rating.
• Evaluate Sanctions and ABC risks in transactions submitted to Business Committees (e.g., BizCom, Advisory, Credit, Reputational Risk Committees).
• Support the review and escalation of sanctions alerts from name and transaction screening systems (FircoTrust and Fircosoft Continuity), including Trade Finance-related cases.
• Contribute to annual Sanctions and ABC risk assessments in collaboration with Head Office FCC (e.g., RCSA, BLRA, ABC risk mapping).
• Assist with regulatory surveys, audits, and related inquiries.
• Compile and present relevant information for APAC FCC governance forums (e.g., APAC RCC, AMLOC, ABCOC, Gov-ExCo).
• Prepare reports and updates for Head Office FCC and participate in coordination meetings.
• Liaise with Head Office FCC to implement global standards and initiatives on Sanctions and ABC across local Compliance teams.
• Support APAC FCC projects as needed.

Requirements

• Minimum of 5 years of relevant experience in Financial Crime Compliance (FCC).
• Preferably with in-house experience in Banking or Corporate & Investment Banking (CIB); must be capable of working independently and hands-on.
• Holds a Bachelor's degree in Banking & Finance, Business, Accountancy, or a related discipline.
• Solid understanding of financial markets, practices, and products.
• Familiarity with Hong Kong banking regulations is an advantage.
• Strong analytical and critical thinking skills, with keen attention to detail.
• Able to manage multiple tasks effectively, demonstrating a proactive and results-oriented mindset.
• Collaborative team player with strong communication and interpersonal abilities.
• Proficient in Microsoft Word, Excel, and PowerPoint, with the ability to create professional and purpose-driven presentations.