Job Responsibilities
- Prepare AML Risk Assessment to senior management for non-standard-risk profiles
- Handle remediation project, BAU, periodic review & trigger events
- Provide advice to the business units and parties concerned on compliance related matters, including DPS, Outsourcing, EO application, Personal Account Dealing, Conflict of Interest, etc
- handling CPT/OPT assessments, obligation register, survey & regulator enquiries, client complaints and various reporting.
- perform Trade Surveillance monitoring and quality assurance on Suitability and Market Misappropriation monitoring
- Handling response on queries from regulators as related to the department
- Perform anti-money laundering tasks / KYC review / STRs
Requirements
- Bachelor degree in Finance, Economics, Accounting or a related discipline
- 3 years of compliance experience in private banking compliance
- High proficiency in both written and spoken English and Mandarin