- Reviewing Customer Due Diligence / account opening documents to ensure compliance with know-your-client and anti-money laundering requirements, both from the perspectives of local regulatory and internal group requirements for new account opening and periodic reviews.
- Performing AML related controls, e.g. reviewing and approving RM’s explanation of the transaction alerts and investigating the potential suspicious transactions
- Follow up with outstanding AML related controls and escalate exceptions where appropriate
- Assisting in handling ad hoc legal and compliance issues, attending enquiries from and handling inspection by regulators and head office
- Performing compliance monitoring in relation to AML
- Preparing and implementing AML related training programs to all staff
- University degree preferably in accounting, business or law. Must have private banking experience
- At least 5 years of solid experience in professional practice and/or the financial services sector, in private banking AML compliance field;
- Sound knowledge of the AML Guideline issued by HKMA and SFC ;
- Excellent command of spoken and written English, with Chinese language ability an advantage;
- Experience in regulatory authority (i.e. SFC/HKMA) would be an added advantage
If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, email@example.com Web: www.charterhouse.com.hk
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