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
12 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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