Responsibilities

• To maintain regulatory relationships; assess, measure and report on compliance related risks; monitor and test the adequacy of the firm’s compliance control environment and to develop policies and controls
• Assisting the AML Compliance Team for the advising on all AML/KYC issues in response to the new law, e.g. client on-boarding, negotiation with clients on business terms, and advising the management on various ad-hoc clients’ request and business initiatives
• Assisting in performing risk reviews, remediate gaps, design solutions, and assist in managing projects to ensure a compliant outcome.
• Assisting in perform AML compliance monitoring and surveillance programs.
• Assisting in handling regulators enquires
• Assisting in advising and directing businesses and stakeholders on the implementation of adequate procedures and controls.
• Assisting in undertaking investigations into any suspicious transactions reported internally and by clients.
• Assisting in supporting other compliance team for CSB compliance matters

Requirements

• Preferably a degree holder in Law, Accounting or related discipline applicable to finance and/or regulation, but not essential.
• Minimum 2 years compliance experience in a sizable financial institutional would be ideal.
• Knowledge of securities laws, finance, operations, products and services would be advantageous.
• Articulate and able to demonstrate interest in working within Compliance and regulation of the financial industry.
• Bright and energetic, willing to learn and enthusiastic to join a growing investment bank.
• Self-motivated, well-organized and presented, independent and pleasant personality with good communication skills at all level.
• Good command of written and spoken English and Chinese (including Putonghua).