Compliance Officer

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Non-disclosed
  • 09 Nov 18

Carry out Compliance duties including AML/KYC due diligence, updates on AML regulations and update policies and procedures.

Key responsibilities:

  • Provide advisory to business unit as AML/CFT subject expert
  • Review Business Unit's Customer Due Diligence assessments (onboarding and periodic review)
  • Responsible for implementing and monitoring any initiatives in respect of the AML/CFT programs and working with relevant stakeholders
  • Keep abreast of AML/CFT, sanction laws, regulations and developments, analyses and provide update to relevant stakeholders on such developments
  • Perform transaction monitoring in reviewing and assessing daily alerts and follow up with front line in the resolution
  • Review and update the AML/CFT policies and procedures on a periodic basis
  • Responsible for reporting of relevant AML/CFT key metrics to management
  • Undertake any other AML/CFT related matters or ad-hoc projects

 

Skills and experience:

  • Relevant University degree holder (law, finance or economics) will be an advantage
  • Over 3 years’ experience gained within the compliance function of an investment bank
  • A working knowledge of capital markets products would be beneficial
  • Strong attention to detail
  • Preferably experience of dealing in multiple countries

 

Personal requirements:

  • Excellent communication and interpersonal skills
  • A pro-active, motivated approach.
  • Able to work under pressure
  • Excellent in both written and spoken English and Chinese