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The Role is responsible for the AML, CTF, Sanctions & Embargoes related matters in Hong Kong. This ensures that all relevant AML/CTF policies, procedures, systems and controls are implemented effectively, all AML/CTF-relevant legal, regulatory and DB Group requirements are met and any AML/CTF-related risks are appropriately addressed and mitigated. The AMLO is also responsible for the identification, assessment, advisory, monitoring, control and reporting on the AML/CTF laws, rules and standards relevant to the DB activities in Hong Kong. The AMLO, together with the Money Laundering Reporting Officer (MLRO), are the direct points of contact for DB staff in AML matters, particularly in terms of AML/KYC-related regulatory guidance or suspicious transactions. He / She also assists the MLRO in responding queries from the local AML regulators and law enforcement authorities on AML relevant matters.
The AMLO has unrestricted access to all information, data, records and systems in the Bank he/she deems necessary to fulfil its function.
Having a direct reporting line to the AMLO of the Wealth Management. Ensuring appropriate reporting and escalation of issues and/or incidents to the MLRO and / or Local /Regional Head of WM AFC.
Advising on and assisting the MLRO/AMLO to ensure implementation of applicable Group AML / CTF Policies.
Participating in the assessment of the conformity of relevant internal policies and procedures, systems and controls with relevant local regulatory obligations and DB Group standards, in order to ensure local AML regulatory requirements are reflected in the local KOPs.
Monitoring local regulatory AML, CTF and sanctions developments and notifying relevant changes and specifications, as instructed by the MLRO / AMLO.
Investigating Unusual and/or Potentially Suspicious and ensuring timely escalation to the MLROs of unusual and/or suspicious transactions or activities for reporting to the competent authorities in compliance with applicable rules
Assisting the MLRO to maintain procedures and systems, and to prepare appropriate MIS to ensure that Unusual and/or Potentially Suspicious Transactions are reported, in compliance with applicable rules.
Providing regulatory guidance and advice on new or existing clients that are escalated, or decide to escalate further.
Having oversight on the tracking and following-up on the conditions that have been imposed as part of the KYC approval. Obtaining relevant MIS from the business or appropriate parties on status of regular reviews.
Coordinating responses and input for MI reports requested by Global AFC or the AFC reporting function.
Conducting the local AML Risk Assessment in the country.
Discharging the responsibilities of local AML officers as set out under global KYC policies for the Wealth Management Division.
Delivering local AML training when specific needs are identified in order to maintain staff awareness culture.
Ensuring that local record keeping processes are in alignment with the AML related legislative, regulatory and internal requirements.
Contributing to DB AML Function as a whole by sharing knowledge and best practices with AFC/AML Officers of the other Businesses and entities by involving in regional calls or other forum.
5 years of experience in AML Advisory Compliance an advantage
Experience in Private Banking AML Compliance and knowledge of Private Banking products are advantages.
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