(Assistant - Senior) Manager, Business Compliance & Operation Risks (AML, Private Banking)

Responsibilities:

Act as first line of defense to conduct AML/Financial Crime/ Fraud risk related transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible AML/Financial Crime/ Fraud risks, prepare management report(s) and provide recommendations to mitigate relevant risks

Review KYC profiles, account opening / review documents

Conduct AML/Financial Crime/ Fraud risk related periodic and ad hoc monitoring/transaction review

Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business

Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various AML related internal and/or regulatory requirements. Recommend follow up action to close the gaps where applicable

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 suspicious transaction

Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements

Provide staff training where required

Assist on other ad hoc tasks as assigned

Requirements:

Degree or above

4+ years working experience in banking and finance, at least 2 years in relevant private banking AML 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