To perform alert disposition, conduct investigation and provide advisory to Business on AML related matters.

Key Responsibilities

  • Responsible to review transaction alerts for any money laundering issue, collect comment from Relationship Manager as appropriate.
  • Conduct investigation, meeting with relevant staff and prepare report on cases with potential suspicious transactions.
  • Liaise with Head Office, IT and Compliance of other location in reviewing transaction monitoring thresholds and parameters.
  • Participate/To assist in project to enhance transaction monitoring systems and perform UAT.
  • To assist in coordination of regulatory inspection and investigation.
  • To ensure compliance with applicable laws and regulations.  Keep abreast on new regulations and to update Management and staff on changes in regulations.
  • To identify and control compliance risks, implementing monitoring measures where required.
  • To advise Business and Functions on compliance and regulatory issues.
  • To support in implementing policies and procedures as a result of changes in Head Office directive or local laws and regulations and updating such rules and regulations relevant to Wealth Management.
  • To carry out the client acceptance and review process and to ensure that compliance especially with issues like money laundering, due diligence on clients, know-your client process, sanctions, transaction monitoring.
  • To provide training on compliance issues and promote compliance awareness and culture.
  • To assist in preparing relevant compliance reports pertaining to Wealth Management for submission to Head Office and ensuring the accomplishment of the Department’s mission.

Competencies (Technical / Behavioural)

  • Familiar with Hong Kong laws and regulations.
  • Work well with people and under pressure.
  • A good knowledge of compliance framework.
  • Good communication skills with Front Office.
  • Need to work as a team.

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