• 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 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

• Provide regional HR support by assisting a professional team of 10
• Accountable for facilitating D&I and wellness programs
• Assist in preparing HRIS/dashboard reports to support staff planning & C&B review

• 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

• 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

• 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

• Responsible for name screening, KYC and existing client accounts documentation support
• Conduct basic due diligence checking under respective AML requirements
• Trigger events and post transactional review

• 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 

• As part of the North Asia Operations & Payment Team
• Daily processing of cash/cheque payment and remittance that called for liaison with internal/external counterparts across the region
• Resolve any transaction issues on a timely basis and ensure fulfilment of regulatory requirements

• Accountable for preparing Head Office Financial Reporting 
• Facilitate the preparation of Management Reporting 
• Maintenance of G/L 

• Accountable for North Asia Branch Financial and Management Reporting in accordance to IFRS standard 
• Responsible for preparing financial performance analytics to facilitate financial and business planning 
• Collaborate with global and regional finance team to ensure the smooth implementation of accounting standard, finance system implementation to cater for new product/business and accounting related initiatives