- Conduct and execute quality assurance controls AML monitoring and CIP review activities, including Client Onboarding, PR, Transaction Monitoring, Client Screening, STR Reviews etc
- Perform testing on transaction monitoring and CIP review activities in accordance with the regulatory requirements
- Assess the effectiveness of the compliance controls and relevant procedures, and to address the underlying risks and regulatory requirements
- Work with responsible stakeholders to implement the remedial measures in an effective and sustainable manner to improve processes, remediate deficiencies and strengthen internal control measures
- Prepare and submit MI reports to Compliance Committee on a monthly basis relating to the QA review results and observations and escalate any issues arising from such monitoring
- Provide guidance / advice on AML/FCC controls areas in relation to new onboarding, periodic review, and transaction monitoring
- Maintain relationship with stakeholders to keep abreast of the business development and identify any impacts from the regulatory requirement perspective
- Prepare training materials and deliver AML/FCC training and share knowledge with team members
- University degree in Accounting, Business, Law or related discipline
- 5 years solid experience in AML, FCC, audit or related field in the private banking or with regulatory authorities
- Experience in performing compliance review and investigations.
- Sound working knowledge regulations
- Good command of written and spoken English and Chinese.
- Good leadership, communications skills and ability to work independently
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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