AML VP /AD - Investment Bank
Job Summary:
We are seeking a seasoned AML Compliance professional to join the Financial Crime Compliance team as a Vice President or Associate Director. This role is responsible for overseeing anti-money laundering (AML) and counter-terrorist financing (CTF) compliance across the investment banking business, ensuring adherence to local and international regulatory standards.
Key Responsibilities:
Advisory & Oversight:
- Provide AML advisory support to front office and support functions across investment banking and capital markets.
- Review and assess complex transactions and client onboarding cases for potential AML/CTF risks.
- Advise on enhanced due diligence (EDD) and high-risk client reviews.
Monitoring & Investigations:
- Oversee transaction monitoring alerts and conduct investigations into suspicious activities.
- Prepare and file suspicious transaction reports (STRs) to the Joint Financial Intelligence Unit (JFIU) as required.
- Coordinate with internal stakeholders and law enforcement on AML-related matters.
Policy & Regulatory Compliance:
- Develop, implement, and maintain AML/CTF policies and procedures in line with SFC, HKMA, and FATF requirements.
- Monitor regulatory developments and ensure timely updates to internal frameworks.
- Support regulatory inspections, audits, and internal reviews.
Training & Awareness:
- Deliver AML/CTF training to business units and compliance staff.
- Promote a strong culture of compliance and ethical conduct across the organization.
Qualifications:
- Bachelor's degree in Law, Finance, Accounting, or related discipline; CAMS or equivalent certification preferred.
- Minimum 8 years of AML compliance experience within investment banking or financial institutions.
- Strong knowledge of Hong Kong AML regulations (AMLO, SFC, HKMA) and global standards (FATF, OFAC, etc.).
- Proven experience in managing complex investigations and regulatory interactions.
- Excellent communication, analytical, and stakeholder management skills.
- Fluency in English is essential; Cantonese or Mandarin is a plus.
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