• Bridge between Front office and Compliance/AML team for COB & PR Cases
• Fully Accountable for CDD/KYC/SOW and Transaction Monitoring to ensure fulfilment of HKMA, MAS and AML/CFT regulatory requirements
• Assume 2^nd LOD to advise FO on any FCC/KYC/EDD related matters for low to high risk clients across the region

As part of the Regional FCC function, the successful job holder will be accountable for

• Report to Head of FCC and partner with a small professional team of 3
• Transaction Monitoring, STR & Continuous Enhancement of AML Procedures and System/Tools Review
• Investigation of trigger events/alerts to ensure the fulfilment of regulatory/corporate governance

• Bridge between Front office and Compliance/AML team for COB & PR Cases
• Case management with full accountability to prepare KYC/SOW to ensure fulfilment of HKMA AML/CFT regulatory requirements
• Assume 1.5 LOD to advise FO on any KYC/EDD related matters for low to high risk clients across the region

• Carrying out the professional review and approval of KYC client profiles along with sanctions and AML screening
• Performing due diligence checks and relevant information searches
• SOW/SOF review and analysis for all risk levels of high net worth and ultra-high net worth clients across the globe

• Report to Regional Head of Compliance & Risk 
• Accountable for conducting 1.5 line of defense & risk assessment from account opening, product suitability, selling process and transaction review by collaborating with front office, investment, OR & Compliance professionals 
• Gatekeeper to ensure fulfilment of HKMA regulatory requirements

• 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 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