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Global Private Bank with Outstanding Benefits
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KYC/SOW & Account Opening Approval
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AML Compliance & Risk Mgmt
Our Client
Representing one of the most established pure play international private bank & asset management group hiring over 5000 employees across the globe to search for immediately available and experienced KYC Compliance talents!
Job Duties
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.
Requirements
- The ideal candidate will have a minimum 5 years' in compliance or KYC/AML roles with Int’l private bank
- Expertise in HKMA regulation, and a solid understanding of AML and KYC/SOW requirements.
- Degree holder with excellent proficiency in English, Mandarin and Cantonese
- 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
- Business & Regulatory Risk Management
- Drive Regional Surveillance Projects
- Healthy Work life Balance & Job Security
- Report to the North Asia Head of Business Risk
- Accountable for conducting regulatory & thematic business risk assessment including product suitability, cross border, pricing, selling process, transaction review by collaborating with the front office, investment, compliance and audit teams across the region
- Responsible for voice log review and transaction monitoring to ensure the fulfilment of HKMA/SFC regulatory requirements