Job Responsibilities
- Handle compliance matters including inquries and investigations from regulators, authorities and client complaints
- Handle AML/CFT policies and procedures, and ensure internal stakeholders are in compliance with regulatory requirements
- Support in AML assessment, post transaction surveillance, reports reviewing and investigations of suspicious activities/transactions
- Provide solutions/ suggestions on remedial actions or plans on non-compliance issues
- Review documents and contracts for provision of new products or services, as well as renewals
- Regular communication with internal stakeholders, auditors and regulators in regards to compliance matters
Qualifications
- Bachelor in Law, and around 3 years of PQE
- Experience in handling AML compliance matters (Type 1, 2, 4, 6 & 9)
- Well versed in Anti-Money and Counter-Terrorist Financing Ordinance, and SFC conduct and regulations
- Proficiency in English and Chinese is required