• Conduct the client due diligence review including source of wealth, account-related documents, KYC profiles and name screening results
• Conduct name screening via different systems such as World Check, Factiva, internal and external systems
• Check investigation alerts that called for extensive liaison with the front office, compliance and respective stakeholders

• As part of the Regional CDD Team under the COO Office, this job holder will be responsible for:
• Accountable for client onboarding for low to high-risk corporate and institutional clients Conduct end-to-end KYC / PEP and comprehensive CDD / EDD assessment in accordance with HKMA regulatory requirements/corporate governance
• Serve as the bridge between front office and compliance to tackle AML/FCC-related issues

• Report to North Asia Head of Compliance
• Conduct periodic compliance testing & thematic audit to ensure daily activities of HK Branch adhere to the regulatory requirements including HKMA/SFC/MAS and corporate governance 
• Review and oversight the effective implementation of control programs through ongoing review, monitoring and surveillance, investigation and reporting 

• Report to the Head of Business Risk
• Accountable for conducting 1^st line of defense & risk assessment from account opening, product suitability, selling process and transaction review by collaborating with the front office, investment, OR & Compliance professionals
• Gatekeeper to ensure fulfilment of HKMA regulatory requirements

As part of the Business Risk and Compliance North Asia Team. You will play a key part in

• conducting KYC due diligence, account opening approval, AML investigations, and ensuring compliance with SOW requirements.
• managing regulatory reporting, handling client onboarding procedures, and supporting various risk-related initiatives.

• As part of the core team members to oversight Regulatory Affairs Compliance issues
• Assume the subject matter expert on any regulatory changes and faciliate the proper implementation of procedures & policies
• Provide active advisory to business and senior management on any regulatory changes and implications to business

• Report to the North Asia Regional Head of Legal Counsel
• Key member of transaction team to provide legal guidance & advisory support to complex structures
• Accountable for end to end phases from reviewing, derivatives structuring, legal drafting, negotiation and implementation

• Perform annual risk assessment to identify key risk areas that need to be monitored.
• Report to North Asia Head of Compliance
• Accountable for HKMA regulatory risk assessment

• As part of the AP Distribution Department to oversight regional KYC/CDD function 
• Accountable for managing new and periodic CDD/KYC assessment for low to high risk institutional and intermediaries’ clients
• Conduct PEP, sanctions, adverse news and STR review etc.

• Report to the Regional Head of KYC 
• Assume team lead functions to oversight KYC and client onboarding for low to high risk cases
• Accountable for CDD Review to ensure fulfilment of regulatory, corporate governance 

• Report to Head of Business Management to ensure the smooth operations of daily business activities 
• Manage a team of Client Service Associate and Sales Support from hiring, coaching and mentoring to ensure the daily business activities fulfill the regulatory & corporate governance  
• Oversight the performance of sales support  

• Report to Litgation Lawyer and faciliate commercial litigation, investigation and complaint cases
• Accountable for conducting legal resarch and consolidation of related document
• Assist in investigation process that called for extensive liaison with internal stakeholders from front to back office and external counsels
• Support general advisory matters related to account opening, data access and any regulatory related aspects