Description

Responsibilities:

• Act as first line of defense to conduct AML/Financial Crime/ Fraud risk related transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible AML/Financial Crime/ Fraud risks, prepare management report(s) and provide recommendations to mitigate relevant risks.
• Review KYC profiles, account opening / review documents.
• Conduct AML/Financial Crime/ Fraud risk related periodic and ad hoc monitoring/transaction review.
• Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business.
• Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various AML related internal and/or regulatory requirements. Recommend follow up action to close the gaps where applicable.
• Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense.
• Assist to conduct training to promote compliance culture.
• Assist to investigate suspicious transaction.
• Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements.
• Provide staff training where required.
• Assist on other ad hoc tasks as assigned.

Requirements:

• Degree or above.
• 5 years working experience in banking and finance, of which 2 years in relevant private banking AML Compliance. Strong AML knowledge is an advantage.
• Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
• Proficient in written, spoken English AND Chinese.
• Familiar with HKMA/SFC regulatory requirements.

#LI-CT1

If you are applying for in-scope position(s) under the Mandatory Reference Checking Scheme (i.e., A role carrying out regulated activities licensed by the IA, SFC & MPFA), you are required to undergo the Mandatory Reference Checking. Our responsible recruiter will inform you the details of the MRC process and the requirements in due course. For details, please click here .