Senior Manager, Business Compliance & Operation Risks (Private Banking)

• →Act as first line of defense to conduct AML/Financial Crime/ Fraud risk related transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible AML/Financial Crime/ Fraud risks, prepare management report(s) and provide recommendations to mitigate relevant risks
• →Review KYC profiles, account opening / review documents
• →Conduct AML/Financial Crime/ Fraud risk related periodic and ad hoc monitoring/transaction review
• →Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business
• →Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various AML related internal and/or regulatory requirements. Recommend follow up action to close the gaps where applicable
• →Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense
• →Conduct quality assurance tasks over the relevant procedures
• →Investigate unusual client’s activities
• →Conduct staff training to promote compliance culture
• →Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements
• →Assist on other ad hoc tasks as assigned
• →Lead a team to deliver the above responsibilities

• Degree or above
• 6+ years working experience in banking and finance, at least 2 years in relevant private banking AML Compliance.
• Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks
• Proficient in written, spoken English AND Chinese
• Familiar with HKMA/SFC regulatory requirements
• Sound judgement on business practices, and strong compliance reflex.
• Professional Accreditation such as Enhanced Competency Framework (ECF) under the Hong Kong Institute of Bankers (HKIB) would be an advantage.

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