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.
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