VP/ Associate Director, AML Compliance - Equities/ Securities
Full time
at HARBRIDGE PARTNERS
in
Hong Kong
Posted on May 8, 2024
Job details
VP/ Associate Director, AML Compliance – Equities/ Securities Team Lead, Trade Surveillance & AML Monitoring Location: Hong Kong Main Duties and Responsibilities:
- Covering and manging the team for AML/CTF, Trade Surveillance/ Monitoring and FATCA/CRS
- Provide AML/CTF guidance and advisory to the senior management and to business and support units.
- Develop and implement AML/CTF policies, procedures, and monitoring programs for relevant business activities.
- Member of the AML Committee, prepare the agenda and minutes of the meeting and report to the relevant regulators/authorities within the stipulated timeframe as appropriate.
- Manage the transaction monitoring framework and process, implementing effective methods to identify suspicious transactions.
- Develop AML/CTF awareness and training and provide regular training to staff and representatives.
- Design compliance surveillance / monitoring programs and conduct compliance AML monitoring and reviews on products and business units under the VP’s responsibility area.
- Handle ad-hoc investigations, customer complaints, suspicious transactions reviews etc. Report non-compliances in accordance with protocols and suggest actions for resolution, compliance improvement planning etc.
- Manage the HK operations’ FATCA/ CRS compliance and other upcoming common reporting standard
- Handling the head-quarter’s enquiries and acting as the focal point to coordinate any information/report to be provided to the headquarters.
- Liaise with management, business, operations and other relevant departments, auditors and regulatory authorities on compliance matters and issues.
- Perform follow-up reviews to verify the implementation of recommendations from regulators, external and internal auditors, assist to resolve compliance-related findings and issues identified.
- Keep abreast of the latest legal and regulatory requirements. Promote compliance awareness and compliance culture (including preparation of compliance training materials and conducting compliance trainings).
- Qualification
- Experience
- Knowledge / Other Skills
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