Job Responsibilities
- Provide advice to internal stakeholders on regulatory requirements, policies, procedures, and areas of AML/ CFT;
- Develop, maintain, review and implement policies, procedures, templates, manuals on AML/ CFT controls framework, enhance relevant policies and procedures as well as proper controls to ensure that the company’s business activities are in compliance with the latest regulatory requirements;
- Design and execute regular reports to Senior Management and/or Board of Directors, measuring success and performance of AML Compliance initiatives, program, operations, critical metrics, and KRIs.
- Assist with timely investigations and reviews for enhanced due diligence, transactions and sanctions related cases
- Assist/ Manage all regulatory, audits, independent reviews engagements relating to AML/CFT
- Assist/ Manage all financial crimes ad sanctions-related incidents, escalations and exceptions
- Identify and mitigate potential areas of AML compliance vulnerability and risks / gaps
- Analysis of accounts and client information according to prescribed internal control policies and procedures;
- Provide AML regulatory guidance and direction in respect to clients who /which pose high AML risks and ensure that the appropriate due diligence is conducted;
- Support in day-to-day handling of AML matters (including activities in relation to PEP, periodic reviews, AML advisory support to business functions on AML/CFT policies and procedures, etc);
- Understand technical aspects of systems and controls relevant to Customer Due Diligence, Client Risk Assessment, Name and Transaction Screening, Transaction Monitoring/ AML Surveillance, and support disposition, selection, calibration and tuning of rules and scenarios;
- Participate in the company’s ad-hoc compliance projects and provide compliance support.
Job Requirements
- Bachelor’s degree in Business/Finance or equivalent, Professional qualifications such as ACAMS or relevant certification is an advantage;
- 5 years’ experience in undertaking AML / KYC reviews within a financial institution, Futures and Options is an add on advantage;
- Practical knowledge in AML, regulatory compliance and controls within the financial industry;
- Experience in MAS AML compliance regulations in capital markets activities (in particular, futures and options brokerage activities) is preferred.
- Time management skills with the ability to prioritize workload and multi-task;
- Strong stakeholder management skills. Strong teamwork, organizational, complex problem resolution and initiative;
- Familiarity with Microsoft office tools and other software.
- Able to communicate in English and Chinese due to frequent interactions with China HQ and Chinese speaking clients
