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Vice President - Internal Control, Commercial Banking
China Construction Bank (Asia) Corporation Limited
September 18, 2019
- Act as a Compliance representative for the Division and as one of the focal points of contact for Legal and Compliance and Operational Risk. Act as a back up to the Head of Internal Control and investigate potential compliance incidents or breaches in conjunction with various internal parties
- Work closely with Management, Compliance and other departments to ensure timely issue identification and resolution, and manage ad hoc projects and / or tasks from time to time as required
- Prepare, maintain and update all Policy and Procedures ("P&P") of the Division on ad hoc as well on annual review basis. Keep abreast of policy and procedures changes on AML Compliance related matter and cascade relevant information to associates accordingly
- Monitor KYC re-assessment progress to ensure overdue cases are kept to a minimum. Ensure proper approval from DH and DCE are obtained for exceptional cases. Work with business units, KYC Support Center and AML Compliance to smooth out process as appropriate. Identify issues and escalate up if needed. Provide advice to AO/Team Heads on KYC reassessment requirement
- Prepare regular reports and updates to Head of Internal Control and Division management on KYC re-assessment portfolio on both routine and trigger event cases, as well as to provide relevant opinion and advice to management on AML related matter
- Maintain centralised records for STRs filed and accounts pending closure due to AML or related issues. Follow up with relevant AOs to ensure accounts are closed in a timely manner. Remind business unit of proper handling of accounts after consent/ no-consent provided by JFIU
- Coordinate with business units on monthly basis to conduct post transaction review on trade and remittance transactions. Proactively follow up with AOs for review of transactions and consolidate results for submission to AML Compliance in a timely manner
- Arrange and conduct various self-assessment compliance reports including but not limited to Risk Control, Compliance Check list BO and Deposit Protection Scheme, ORM, monthly KPI and etc. To regularly remind teams to strictly follow internal policies, operating procedures and relevant controls to meet the Bank's and local regulatory requirement
- Diploma/Higher Diploma/Associate Degree or above in any discipline
- Minimum 10 years working experience, preferably in banking industry (wholesale banking, compliance rated field would be preferred)
- Understanding of control, compliance, credit, audit and operational risk concept
- Knowledge of business planning/monitoring, MIS management and KYC assessment / reassessment
- Good analytical and communication skills
- Mature, responsible and self-motivated
- Good command of both written and spoken English and Chinese, including Putonghua
- Proficient in PC applications, including Microsoft Word and Excel
Internal Number: 6162342
About China Construction Bank (Asia) Corporation Limited
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