Compliance & Control Manager

(Ref No. HKJC-159-2052-2018)

Our client is a leading Hong Kong based financial services group listed on The Stock Exchange of Hong Kong, serving the needs of customers throughout Greater China and beyond, with the operation one of the largest branch networks in Hong Kong.  She is dedicated to providing comprehensive corporate banking, personal banking, wealth management, and investment services to its customers in Hong Kong, Mainland China, and other major markets around the world.  She is looking for a Compliance & Control Manager to join her Financial Institutions Department.

Responsibilities

  • To liaise externally with clients and internally with other departments to ensure clients’ enquiries on FI compliance are handled efficiently and expeditiously
  • To assist on managing FI Compliance matters and promoting compliance culture within the division
  • To prepare know your customers (“KYC”) and anti-money laundering (“AML”) due diligence for new financial institution’s clients
  • To conduct KYC/ AML due diligence review of financial institution’s clients, prepare and review MIS reports
  • To observe updates in compliance related rules and regulations and implement the updates to relevant procedure manuals
  • To perform compliance related duties and handle enquiries from clients involving business units/ departments concerned to ensure quality and efficient services are provided
  • To serve departments and overseas branches / subsidiaries of the Bank Group in relation to the daily operation on AML/KYC and other compliance related matters
  • To liaise with other departments and overseas branches / subsidiaries of the Bank Group in relation to daily operations on AML/KYC and maintaining good client relationship

 Requirements

  • University graduate
  • Preferably over 5 years of experience in the banking with qualification in the AML area (e.g. CAMS)
  • Sound knowledge of the ALMO and other compliance rules and regulations especially in the financial institutions area
  • Good understanding of relevant Bank policies, procedures, practices and rules
  • Good understanding of correspondent banking, transaction banking, and treasury business
  • Mature, self-motivated and attentive to details
  • Excellent command of both spoken and written English and Chinese, Putonghua is a plus

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