Compliance Officer, Compliance page is loaded Compliance Officer, Compliance Apply locations Hong Kong time type Full time posted on Posted 30+ Days Ago job requisition id JR000951 Position Description The AML Compliance Officer will be part of the Financial Crime Compliance team in CLSA, reporting into Regional Head of Financial Crime Compliance. The AML Compliance Officer should work with the team to ensure efficient identification and monitoring of suspicious activities and transactions within CLSA; ensure timely reporting of suspicious transactions from screenings and reviews to the AML Compliance Officer and maintain a robust financial crime compliance framework for CLSA. Key Areas of Responsibilities Completely and accurately document steps taken through the screening process to ensure a compliant outcome. Investigate and assess alerts for potential money laundering risks through screening, reported internally and also by clients. Investigate, review and resolve AML related and economic sanction related alerts. Function as a key contributor with demonstrated knowledge of AML/KYC issues, as well as broader functional knowledge. Work seamlessly across the various entities forging consistency within CLSA, including CLSA entities. Provide direction and guidance to employees on appropriate remediation action for high risk accounts. Maintain a current understanding of money laundering and terrorist financing issues, including policies, procedures, regulations, industry best practices, criminal typologies and developing trends. Assist in identifying systemic procedural weaknesses and additional training requirements for CLSA. Communicate findings to management. Assist with ad hoc projects / to handle regulatory reporting matters. Requirements Degree holder required, preferably in Law, Accounting or related discipline. Working experience in financial institutions, AML/KYC experience is preferred. Knowledge of securities laws, finance, operations, products and services is required. Adept to multi-tasking and meeting deadlines in a high-pressure environment. Good knowledge in securities laws, operations, products and services and analytical skills with the ability to analyze large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately. Proficient in MS Office (Outlook/Word/Excel/Power Point). Articulate and able to demonstrate interest in working within Compliance. Self-motivated, well-organized and presented, independent and pleasant personality with good communication skills at all levels. Good command of written and spoken English and Chinese (including Putonghua).
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