Key Responsibilities:

• To assist in the AML/KYC team within the compliance function to handle all AML and CTF matters, including AML system –related issues, within the group
• To implement and monitor the day-to-day operation of AML program
• To fulfill all responsibilities of the risk control requirements as stated in the key responsibilities section.
• Work with front office and/or Central KYC Onboarding team to resolve AML/KYC related issues
• Engage with vendors to maintain AML/KYC systems for the firm and perform the necessary regular review and/or fine-tuning work
• Supervising the AML/KYC compliance team in daily operation and compliance AML monitoring
• Lead the team to perform ongoing monitoring of existing clients and analyze client’s transaction record
• Update and review relevant KYC/AML policy and procedures including Transaction Monitoring Procedures
• Provide training to all staff on KYC/ AML topics
• Provide AML advisory services to business or other departments
• Management Reporting include drafting various AML statistics and reports to senior management and head office
• Perform ad-hoc projects and reports if necessary
• Risk Control Requirements (with supervisory responsibilities): Attend and take all relevant compliance and risk training; fulfill all compliance responsibilities as required for the job; participate in raising risk awareness in the department; comply with regulatory requirements and internal guidelines; responsible for the reporting and following up on all incidents, and implementing corrective actions related to your department; responsible for ensuring team members are complying with regulatory and contractual requirements and internal guidelines

Qualifications:

• Degree in business related discipline
• ACAMS/CGSS certification is preferred
• Minimum 5 years of experience in AML/KYC
• Hands on experience in handling AML/KYC review for institutional and retail clients in investment banks, securities firms or private banks
• Experience in implementing KYC systems (i.e.: Name screening, transaction monitoring and eKYC systems) will be advantageous
• Familiar with KYC due diligence check, AML Program, and transaction monitoring and surveillance.
• Proficiency in written and spoken Mandarin, English and Cantonese
• Excellent knowledge and interpretation of relevant rules and regulations of the SFC
• Good interpersonal and communication skills
• Strong analytical skills