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Banking & Financial Services

Legal

AVP, Quality Assurance, Financial Crime Compliance – Private Banking

Job details

Location: Hong Kong
Job Type: Permanent
Discipline:
Reference: AVPQA/NR270721
Posted: about 2 months ago

Job description

Responsibilities

 

  • 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

 

Requirements

 

  • 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, nestor.roldan@charterhouse.com.hk  Web: www.charterhouse.com.hk

 

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