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Senior Compliance Officer, Financial Security and KYC
LMA Recruitment, EA Licence No: 11C4684
May 9, 2019
Ensure timely and consistent review, implementation and application of AML/CFT/Sanctions laws, regulations and group policies and guidelines.
Perform 2nd level controls of compliance generic control plans in accordance with group policies and guidelines.
Identify, investigate and report suspicious activity and transaction, and escalate any material risk with relevant information to the Head of Financial Security and KYC Compliance of Greater China and Hong Kong.
Familiar with and keep abreast of changes in local regulatory requirements and Group AML/CFT/Sanctions policies and procedures, and disseminate any changes to affected businesses.
Participate in AML/CFT/Sanctions processes requiring Compliance involvement in accordance with laws/regulations and group policies/procedures.
Supporting the métiers on assessing and advising on AML/CFT/Sanctions analysis for high/sensitive clients (e.g. oil and gas, PEP accounts, gaming and casino establishments, charities and non-profitable organisations, embassies, money services businesses etc) as well as clients in sensitive industries (e.g. oil & gas, nuclear, mining, etc.) and where time allows other business.
Prepare, provide support and coordinate all required reports, updates and dashboard.
Acting as Level 3 Non-SHINE control in respect of sanctions violation alert management.
Coordinating, implementing and enhancing AML/CFT/Sanctions related systems (e.g. ATOM, REGLISS, SHINE, etc.), controls/objectives as well as, risk assessments in various current control framework.
Coordinate and participate in Ad hoc projects, review/investigations, risk assessments, and audit/regulatory inspections.
Supporting the AML/CFT/Sanctions training efforts in Hong Kong, as well as initiatives to enhance risk awareness in Financial Security related issues.
Generally provide support to and perform tasks assigned by the Head of Financial Security and KYC Compliance of Greater China and Hong Kong.
Competencies (Technical / Behavioural)
Preferably some legal or regulatory experience.
Excellent writing skills (English) and analytical skills.
Excellent communication skills and preferably with some experience of dealing in multiple countries in Asia Pacific.
Good general knowledge of the International Sanctions regimes in place and some experience in dealing with sanctions issues as they affect financial institutions. Experience in a sanctions role in a financial institution in Asia Pacific is preferred.
Good general knowledge and interest in international political affairs particularly the evolving sanctions landscape.
Knowledge of debt capital markets, corporate finance and structured finance transactions preferred.
A working knowledge of how AML/CFT/Sanctions risks are manage, and clients and products are risk scored and monitored is essential.
Experience in advising numerous staff across Compliance, front line and Operations.
An understanding of the fundamental AML/CFT/Sanctions laws, regulations and suspicious reporting standards in Hong Kong.
Preferred applicant must have at least 5 years' experience in AML/CFT/Sanctions exposures with a primary focus on corporate and investment banking Compliance work.
Must evidence an attention to detail and have an investigative and questioning nature.
Evidence strong interpersonal skills with the ability to communicate and consult at all levels.
Ability to work independently to carry out projects.
Ideally be familiar with navigating the operational tools which support AML/CFT/Sanctions Compliance controls.
Specific Qualifications Required
University graduate with relevant professional qualifications (e.g. ICA Diploma of Compliance or Anti Money Laundering, and/or other industry AML memberships/certifications, e.g. AAMLP or CAMLP, ACAMS). Preferably a Legal Degree and/or Degree in AML.
Primary Location: HK-Hong Kong (HK)-Hong Kong
Job Type: Standard / PermanentJob: COMPLIANCEEducation Level: Bachelor Degree or equivalent (>= 3 years)Experience Level: At least 7 yearsBehavioural competency: Ability to collaborate / Teamwork, Organizational skills, Attention to detail / rigor, Decision MakingTransversal competency: Ability to understand, explain and support change, Ability to develop others & improve their skills, Ability to inspire others & generate people's commitment, Ability to anticipate business / strategic evolution
COMPANY REG NO: 201131609D
EA LICENCE NO: 11C4684
EA REG NO: R1877280
Internal Number: 5847456
About LMA Recruitment, EA Licence No: 11C4684
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