about the company.
One of the major international banks and a leading arranger of specialized financial products worldwide. The position is under their corporate and commercial banking business.
about the team.Stable and medium size.
about the job.- Assist Compliance Management / Supervisors to oversee various controls measures outlined in SMBC's internal policies and procedures;
... - Assist to develop and/or continuously review the Anti-Money Laundering (“AML”) / Counter-Financing of Terrorism (“CFT”) systems to ensure that they remain up-to-date and meet with current statutory and regulatory requirements; and oversee the systems which include monitoring effectiveness and enhancing the controls and procedures where necessary;
- Review and provide compliance advice to business stakeholders and key control functions on day-to-day compliance matters related to AML/CFT and Sanctions, including but not limited to high-risk customer relationship review, handle enquires / perform risk assessment and provide advice on matters related to customer due diligence requirement or PEP/adverse news risk assessment ;
- Maintain and update the AML/CFT/Sanctions related policies and procedures in accordance with head / regional office guidelines and/or relevant laws and regulations of major jurisdictions;
- Support Compliance Management / supervisors in preparing the Institutional Risk Assessment;
- Perform testing and monitoring over the AML/CFT/Sanctions related controls, processes or systems;
- Handle regulatory reporting and initiatives in relation to matters or systems of AML/CFT/Sanctions;
Review all internal disclosures and exception reports and, in the light of all available relevant information, determining whether or not it is necessary to make a report to the respective authorities;
- Promote anti-money laundering / sanctions and related policies and controls in the Hong Kong office and provide regular trainings on AML/CFT/Sanctions to employees;
- Monitor the implementation of Know-Your-Customer (KYC) or Customer Due Diligence (CDD)programs and related systems in meeting with the relevant regulatory requirements and the remediation for exceptional cases;
Perform ad hoc duties, projects or initiatives as assigned by Compliance Management / supervisor; and/or Branch management.
skills & experiences required.- Degree holder or above, with professional qualification in law, accountancy/audit, banking or equivalent, Certificated AML or Sanctions Professional (e.g., AAMLCP, CAMLP, CAMS);
- Familiar with AML/CFT/Sanctions Laws, regulations and control measures;
- Minimum 5-8 years’ experience in AML/CFT/Sanctions/Financial crime or related compliance in financial institutions, or relevant experiences gained in investigation / financial crime risk management function of law enforcement agencies or regulators; AVP position may be considered to offer for candidates with less experience or who do not fully meet with the outlined requirements;
- Familiar with banking products and regulatory requirements in relation to AML/CFT/Sanctions and related control measures, preferably in commercial / corporate banking;
- Self-motivated, able to work independently with minimum supervision, good analytical mind / problem solving skills, good interpersonal skills, a team player and able to work under pressure with tight deadlines;
- Good command of written and spoken English and Chinese;
- Good PC skills and proficient in using MS Offices, relevant experiences in handling / analyzing AML related systems or tools;
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about the company.
One of the major international banks and a leading arranger of specialized financial products worldwide. The position is under their corporate and commercial banking business.
about the team.Stable and medium size.
about the job.- Assist Compliance Management / Supervisors to oversee various controls measures outlined in SMBC's internal policies and procedures;
- Assist to develop and/or continuously review the Anti-Money Laundering (“AML”) / Counter-Financing of Terrorism (“CFT”) systems to ensure that they remain up-to-date and meet with current statutory and regulatory requirements; and oversee the systems which include monitoring effectiveness and enhancing the controls and procedures where necessary;
- Review and provide compliance advice to business stakeholders and key control functions on day-to-day compliance matters related to AML/CFT and Sanctions, including but not limited to high-risk customer relationship review, handle enquires / perform risk assessment and provide advice on matters related to customer due diligence requirement or PEP/adverse news risk assessment ;
... - Maintain and update the AML/CFT/Sanctions related policies and procedures in accordance with head / regional office guidelines and/or relevant laws and regulations of major jurisdictions;
- Support Compliance Management / supervisors in preparing the Institutional Risk Assessment;
- Perform testing and monitoring over the AML/CFT/Sanctions related controls, processes or systems;
- Handle regulatory reporting and initiatives in relation to matters or systems of AML/CFT/Sanctions;
Review all internal disclosures and exception reports and, in the light of all available relevant information, determining whether or not it is necessary to make a report to the respective authorities;
- Promote anti-money laundering / sanctions and related policies and controls in the Hong Kong office and provide regular trainings on AML/CFT/Sanctions to employees;
- Monitor the implementation of Know-Your-Customer (KYC) or Customer Due Diligence (CDD)programs and related systems in meeting with the relevant regulatory requirements and the remediation for exceptional cases;
Perform ad hoc duties, projects or initiatives as assigned by Compliance Management / supervisor; and/or Branch management.
skills & experiences required.- Degree holder or above, with professional qualification in law, accountancy/audit, banking or equivalent, Certificated AML or Sanctions Professional (e.g., AAMLCP, CAMLP, CAMS);
- Familiar with AML/CFT/Sanctions Laws, regulations and control measures;
- Minimum 5-8 years’ experience in AML/CFT/Sanctions/Financial crime or related compliance in financial institutions, or relevant experiences gained in investigation / financial crime risk management function of law enforcement agencies or regulators; AVP position may be considered to offer for candidates with less experience or who do not fully meet with the outlined requirements;
- Familiar with banking products and regulatory requirements in relation to AML/CFT/Sanctions and related control measures, preferably in commercial / corporate banking;
- Self-motivated, able to work independently with minimum supervision, good analytical mind / problem solving skills, good interpersonal skills, a team player and able to work under pressure with tight deadlines;
- Good command of written and spoken English and Chinese;
- Good PC skills and proficient in using MS Offices, relevant experiences in handling / analyzing AML related systems or tools;
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