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Responsible for all Compliance issues relating to client
Tracking and maintaining records of the status
Assist in regulatory reporting and HO reporting, where required.
Responsible for Compliance periodic review of clients
Responsible for monitoring, review for staff compliance with Code of Conduct, conflict of interest issues.
Responsible for NCM, FATCA issues.
Assist in AML transaction monitoring and / or investigation works undertaken by Compliance.
To provide leave cover for other team members, as required.
Any other tasks as assigned by Head of Compliance or Deputy Head of Compliance.
Minimum Diploma Holder
10 -15 years of experience in private banking compliance environment
Experience in using Worldcheck, Lexis Nexis, Google
Good experience in reviewing client due diligence information such as source of wealth, the prospect's economic background, perform searches on the prospect to see if there is any negative news prior to account opening.
Good analytical and problem-solving skills
Read and good understanding of Mandarin.
Team player and able to work independently under tight deadline pressure