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Manager/assistant Manager, Business Compliance (aml / Compliance, Private Banking)

Hong Kong, Hong Kong
Last update 2024-05-23
Expires 2024-05-23
ID #2154365532
Manager/assistant Manager, Business Compliance (aml / Compliance, Private Banking)
Hong Kong, Hong Kong,
Modified May 14, 2024


Responsibilities: Act as first line of defense to conduct AML and investment/banking related transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible compliance/operational risks/breaches, prepare management report(s) and provide recommendations to mitigate relevant risks Review KYC profiles, account opening / review documents Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business Review marketing/product materials submitted by various units, and to analyze the compliance risks in new businesses / products / processes/ systems Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various internal and/or regulatory requirements.

Recommend follow up action to close the gaps 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 customer complaints Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements Coordinate internal / external review or audit Provide staff training where required Assist on other ad hoc tasks as assigned Requirements: Degree or above 2+ years working experience in banking and finance, at least 1 years in relevant private banking 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

Job details:

Job type: Full time
Contract type: Permanent
Salary type: Monthly
Occupation: Manager/assistant manager, business compliance (aml / compliance, private banking)

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