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Published 1 year ago

Manager/Assistant Manager, Business Compliance (AML / Compliance, Private Banking)

Bank Of China (Hong Kong) Limited

Job Description

Responsibilities:- Act as first line of defense to conduct AML and investment/banking related transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible compliance/operational risks/breaches, prepare management report(s) and provide recommendations to mitigate relevant risks

  • Review KYC profiles, account opening / review documents
  • Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business
  • Review marketing/product materials submitted by various units, and to analyze the compliance risks in new businesses / products / processes/ systems
  • Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various internal and/or regulatory requirements. Recommend follow up action to close the gaps
  • Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense
  • Assist to conduct training to promote compliance culture
  • Assist to investigate customer complaints
  • Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements
  • Coordinate internal / external review or audit
  • Provide staff training where required

  • Assist on other ad hoc tasks as assigned

    Requirements:- Degree or above

  • 2+ years working experience in banking and finance, at least 1 years in relevant private banking Compliance. Strong AML knowledge is an advantage.
  • Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
  • Proficient in written, spoken English and Chinese
  • Familiar with HKMA/SFC regulatory requirements

#LI-CT1

Job Particulars

Job source
eFinancialCareers
Job reference
20884905
Date published
13 Apr 2024
Job keywords
Private Banking & Wealth Management, Client Relations, Operations, Other, Investment Consulting, n/a
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