• 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

• Accountable for implementing the sustainable strategies in APAC
• Review investment process and products; conduct impact analysis to ensure the fulfilment of ESG/climate risks, sustainable finance disclosure, SFC/MAS regulatory requirements and corporate governance
• Conduct benchmarking analysis, stakeholder engagement, site investigations, macrotrend analysis, and data analytics to support project delivery

• 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 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.

In this role, you will be responsible for monitoring and analyzing investment risks across a diverse portfolio of assets. You will work closely with senior management and fund managers to develop risk management strategies and ensure compliance with regulatory requirements. Participate in ad-hoc global/regional projects to facilitate the new fund launch in the Greater China region.

• Oversee all aspects of facility management and security for the HK Offices by supervising a small team
• Responsible for office renovation, relocation and workspace planning
• Manage Physical Security, Safety and CCTV/Access Control of HK Branch by closely monitoring the service standards of vendors

• Reporting to Regional Head of Dealing & partner with professional team of cross asset classes of investment advisors
• Accountable for timely equities, fixed income and structured products trade execution by collaborating with experienced private bankers for external UHNW families & clients for AP/Greater China region
• Facilitate regional and global new business/products and regulatory related initiatives

• Manage daily trust administration and ongoing operations including vesting of shares, injection/distribution of assets, incorporation of holding company, bank account openings
• As the key gatekeeper in reviewing trust and KYC documents in accordance with the proper compliance
• Maintain client relationships and conduct regular reviews to cope with clients’ trust needs

• Accountable for client data accuracy in accordance to HKMA requirements
• Responsible for reviewing account opening documentation and data maintenance
• Serve as the bridge between front office, business management, KYC and compliance teams

• As part of the office administration department for North Asia region
• Facilitate office renovation and expansion for the HK branch with 400 employees
• Work closely with IT department on scheduling of renovation

• 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