- SFC Regulated Global Asset Manager
- KYC/CDD/AML for New & Periodic Review
- Friendly International Culture & Good Hours
Our Client
Appointed by the most respectable SFC regulated Global Asset Manager, hiring 600 investment professionals across 20 countries worldwide with total AUM of over EUR 550 Billion+ to search for experienced KYC/CDD talents.
Job Duties
- 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.
- Bridge Between front office and compliance to resolving any KYC/AML related issues
- Ensure the fulfilment of SFC, Regional Regulatory and Global Corporate Governance
- Participate in regional and global projects related to promote regulatory control & efficiency
Requirements
- With 5 years +/- relevant CDD/KYC/AML experience earned from SFC regulated international entities
- Proven competency to resolve/manage CDD/AML issues for institutional clients
- Strong stakeholder and communication skills
- Adaptive to working in a multicultural environment
- Good understanding of asset management or fund administration is highly desirable
- AML/KYC/SOW exp with Private Banks
- Supportive FCC Compliance Culture
- Healthy Worklife Balance
- As part of the established FCC Compliance Department for North Asia region
- Responsible for reviewing KYC/SOW risk assessment for Client On-Boarding/Periodic Review in accordance to HKMA/AML regulatory requirement and corporate governance
- Facilitate the approval of periodic review
- AML/Transaction Monitoring exp with Private Banks
- Supportive FCC Compliance Culture
- Healthy Worklife Balance
- As part of the established FCC Compliance Department for North Asia region
- Accountable for conducting transaction monitoring, alert clearance and approval in accordance to HKMA/AML regulatory requirement and corporate governance
- Serve as the subject matter expert to tackle any related transaction surveillance issues from front office, operations and risk management teams
Attraction:
- Leadership Role: AML/KYC/Biz Risk, Private Bank
- Rewarding Front Office Management Exposure
- Job Security, Int’l Professional Culture
Tasked with the mission:
Managing a team of 6, you will oversee client lifecycle activities (onboarding, periodic reviews, trigger events) as well as front-office risk controls (investor suitability, sales conduct, and product governance).
Core Responsibilities
- Team Leadership: 1st Line control environment for the HKMA and SFC regulated private wealth arm.
- Advisory & Governance: Key liaison point with front-office teams on AML and general compliance matters. Represent the unit in regional and global governance committees.
- Risk Frameworks: Design and refine risk management practices covering both financial crime, KYC/Client On-Boarding, regulatory risks aspects to ensure daily business activities fulfil regulatory requirement.
Highly-visible Front Office Advisory Opportunity
Healthy Work-life & Friendly Int’l Private Banks
SOW/CDD/AML, Biz Risk and Mgmt
Why Choose This Opportunity?
Core Advisory Mandate: As part of the Front Office 1.5LOD , partnering with ~10 private bankers & senior management of ED/MD levels; directly advising business from client on-boarding, CDD, business risk, daily licensed activities, resolving any incidents/ approving any exceptions
Pure-Play Focus: Deliver impact within an institution exclusively dedicated to continuous growth and long term direction of the Greater China Wealth Management Business
End-to-End Oversight: Shape front-to-back risk controls—covering everything from client onboarding and financial crime prevention to trade suitability and regional cross-border rules.
Primary Accountabilities:
- First-Line Oversight: Drive robust supervisory standards across front-office activities, keeping day-to-day business aligned with internal governance and regulatory expectations.
- Front-Line Advisory: Serve as the first point of contact for private bankers on business/account pipeline review, operational, policy, and compliance matters (e.g., AML/KYC/SOW adjustments, product suitability, and cross-border engagement).
- Process Refinement: Work hand-in-hand with relationship managers, legal counsel, compliance leads, and operational teams to streamline business flows while maintaining strict risk boundaries.
- Solid AML/KYC/SOW experience with Private Banks
- Friendly & Supportive International Culture
- Healthy Worklife with Excellent Exposure
- Responsible for KYC and Client Due Diligence for low to high risk HNW Private Clients
- Conduct PEP, Sanctions and AML review to ensure compliance with HKMA regulatory requirement and corporate governance
- Serve as the subject matter expert to advise and review KYC/Client Life Cycle requirements for the Front Office