Associate-Director, Financial Crime Compliance KYC – Private Bank

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Reference: ADFCC/NR090922
Posted: almost 2 years ago

Job description

This person provides support to the Hong Kong Compliance team, handling the day-to-day spectrum of compliance activities for the Hong Kong branch, to ensure that the business operations adhere to the requirements of the Hong Kong Monetary Authority, Securities and Futures Commission, the Swiss Financial Market Supervisory Authority (FINMA), and all relevant compliance-related laws and regulations, including anti-money laundering/sanctions/countering of terrorist financing/ anti-bribery and corruption laws and regulations; as well as internal compliance policies and procedures.



  • Assist the Head of Financial Crime to establish, review and update the AML related guidelines, policies and procedural manuals to ensure they are in line with Group and regulatory requirements.

  • Review KYC due diligence documents prepared by business teams and conduct name screening for client onboarding.

  • Review and advise on requirements and issues relating to US persons, FATCA/QI, CRS and other tax compliance matters.Oversee the control processes relating to tax compliance.

  • Identify and establish Compliance’s views on risk issues and irregularities.Escalate, articulate and advise senior management timely for driving well informed decision and resolving issues during onboarding.

  • Manage the Compliance controls and the collaboration with other teams within Compliance as well as stakeholders of other departments in relation to account opening.

  • Maintain satisfactory performance in terms of turnaround time and quality against KPI established for client onboarding.

  • Act as the Secretary of Client Acceptance Committee and Asia Tax Compliance Committee and moderate the meetings for timely escalation of issues.

  • Monitor and follow up on conditions or follow up actions as per management decision.

  • Assist the Head of AML / Compliance in preparing internal AML training materials.

  • Prepare materials for periodic AML governance meetings.

  • Perform ad hoc tasks as assigned by Head of AML/Compliance from time to time.

  • Assist in audits and inspections, and investigations where required

  • Involvement in special work projects as and when required

  • Assist Head of Compliance, Hong Kong and the Compliance team in any other work matters.


  • Basic bachelor degree;

  • 5 – 8 years of relevant experience in general compliance and financial crime compliance, preferably in a Hong Kong private bank

  • A keen interest to learn and perform compliance matters;

  • Good interactive, communication and writing skills;

  • Able to provide alternative solutions to business;

  • Self-motivated and innovative; able to handle issues and resolve challenges in collaboration with colleagues;

  • Team player

  • Language skills in both English and Chinese


If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, Web:


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