Director, Quality Assurance, Financial Crime Compliance – Private Bank

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Reference: DQAFCC/NR130722
Posted: over 1 year ago

Job description


  • 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, Web:


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Image 2022 02 26 T04 57 33