Description

Position Description

This position is part of the Financial Crime Compliance (FCC) team and is responsible for supporting the firm's overall compliance framework, with a particular focus on Anti-Money Laundering (AML), Know Your Customer (KYC), and broader FCC-related activities.

The role requires close collaboration with management, business units, operations, and support functions to ensure adherence to applicable laws, regulations, and internal policies, while fostering a strong compliance culture across the organization. The incumbent will work closely with the FCC team to maintain a robust compliance framework, ensure the efficient monitoring of clients and transactions, and facilitate the timely identification and reporting of any irregularities or suspicious activities.

Key Areas of Responsibilities

1. Support the FCC team in advising management, business units, operations, and support functions on AML, KYC, and FCC-related requirements; facilitate client onboarding, business initiatives, and negotiations
2. Monitor transactions to identify any unusual activity for further investigation; conclude reviews and document results, ensuring necessary reporting to authorities where appropriate
3. Conduct risk reviews, remediation, and screenings of clients, vendors, and counterparties
4. Monitor regulatory changes and ensure AML and CFT policies and procedures are updated to reflect the latest requirements
5. Facilitate understanding among business lines and support functions of AML/FCC policies and procedures, ensuring overall compliance with applicable AML, CFT, and Sanctions laws and regulations
6. Participate in compliance projects to refine AML/FCC policies and procedures, and integrate them into firm-wide controls
7. Engage actively with departments, middle and back office teams, and headquarters to work seamlessly across entities, fostering consistency and promoting AML/FCC awareness and culture
8. Provide input into new business and infrastructure initiatives from a regulatory and best-practice perspective
9. Support FCC training for business units and functions, ensuring FCC knowledge is maintained across all staff

Requirements

1. Post-graduate degree preferred but not essential, ideally in Business, Accounting, or Law
2. 3-5 years of relevant experience in compliance and/or assurance, with specialization in AML and KYC
3. Strong knowledge of securities laws, operations, products, and services
4. Proven analytical skills with the ability to review large volumes of data, identify higher-risk attributes (transactional, geographical, product, customer type, etc.), and take appropriate action
5. Ability to multi-task and meet deadlines in a high-pressure environment
6. Proficient in MS Office (Outlook, Word, Excel, PowerPoint); knowledge of SAS is an advantage
7. Self-motivated, well-organized, well-presented, independent, with a pleasant personality
8. Excellent interpersonal skills and strong command of written and spoken English and Chinese (including Putonghua)
9. Candidates with less experience may be considered for the role of Assistant Manager