Position Description
This position is part of the Financial Crime Compliance (FCC) team and is responsible for supporting the firm’s overall compliance framework, with a particular focus on Anti-Money Laundering (AML), Know Your Customer (KYC), and broader FCC-related activities.
The role requires close collaboration with management, business units, operations, and support functions to ensure adherence to applicable laws, regulations, and internal policies, while fostering a strong compliance culture across the organization. The incumbent will work closely with the FCC team to maintain a robust compliance framework, ensure the efficient monitoring of clients and transactions, and facilitate the timely identification and reporting of any irregularities or suspicious activities.
Key Areas of Responsibilities
Support the FCC team in advising management, business units, operations, and support functions on AML, KYC, and FCC-related requirements; facilitate client onboarding, business initiatives, and negotiations
Monitor transactions to identify any unusual activity for further investigation; conclude reviews and document results, ensuring necessary reporting to authorities where appropriate
Conduct risk reviews, remediation, and screenings of clients, vendors, and counterparties
Monitor regulatory changes and ensure AML and CFT policies and procedures are updated to reflect the latest requirements
Facilitate understanding among business lines and support functions of AML/FCC policies and procedures, ensuring overall compliance with applicable AML, CFT, and Sanctions laws and regulations
Participate in compliance projects to refine AML/FCC policies and procedures, and integrate them into firm-wide controls
Engage actively with departments, middle and back office teams, and headquarters to work seamlessly across entities, fostering consistency and promoting AML/FCC awareness and culture
Provide input into new business and infrastructure initiatives from a regulatory and best-practice perspective
Support FCC training for business units and functions, ensuring FCC knowledge is maintained across all staff
Requirements
Post-graduate degree preferred but not essential, ideally in Business, Accounting, or Law
3–5 years of relevant experience in compliance and/or assurance, with specialization in AML and KYC
Strong knowledge of securities laws, operations, products, and services
Proven analytical skills with the ability to review large volumes of data, identify higher-risk attributes (transactional, geographical, product, customer type, etc.), and take appropriate action
Ability to multi-task and meet deadlines in a high-pressure environment
Proficient in MS Office (Outlook, Word, Excel, PowerPoint); knowledge of SAS is an advantage
Self-motivated, well-organized, well-presented, independent, with a pleasant personality
Excellent interpersonal skills and strong command of written and spoken English and Chinese (including Putonghua)
Candidates with less experience may be considered for the role of Assistant Manager
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Skills Required
- Master degree holder in Law, Accounting or related discipline.
- Working experience in financial institutions, AML compliance and KYC.
- Proficient in MS Office (Outlook/Word/Excel/PowerPoint), knowledge on SAS is an advantage.
