Compliance Officer, Financial Crime, Compliance

Position Description

The Compliance Officer, Financial Crime will be part of the CLSA’s Regional Financial Crime Compliance team, Legal and Compliance, reporting into the Regional Head of Financial Crime Compliance. He/she will work with the team to maintain a robust financial crime compliance framework, ensure efficient monitoring of clients and transactions, for identification and timely reporting of irregularities/suspicions.

Key Areas of Responsibilities

• Assist Regional Head of Financial Crime Compliance on advising management, businesses, operations and support teams on AML KYC, FCC related requirements, so as to facilitate client on-boarding, business initiatives and negotiations

• Monitor regulatory requirement changes and ensure CLSA AML/CFT policies and procedures are up-to-date  and reflect latest regulatory requirements

• Facilitate understanding of business lines and support functions on AML/FCC policies and procedures, ensuring CLSA’s overall compliance to applicable AML, CFT and Sanctions laws and regulations

• Participate in compliance projects to refine AML/FCC policies and procedures, and their integration into the firm-wide controls

• Assist in monitoring clients and their transactions, to identify any unusual transactions for further review and investigation and onward reporting to authorities where necessary

• Help on risk reviews, remediation and screenings of clients, vendors, and counterparties

• Active interaction within the department, middle and back office, as well as with Beijing headquarters, work seamlessly across the various entities forging consistency within CLSA, boosting AML/FCC awareness and culture

Requirements

• Master degree holder required, preferably in Law, Accounting or related discipline.

• Working experience in financial institutions, AML compliance and KYC is required.

• Candidates with more experience may be considered for the role of Assistant Manager, Financial Crime.

• Adapt to multi-tasking and meeting deadlines in high-pressure environment.

• Good knowledge in securities laws, operations, products and services and analytical skills with the ability to analyse large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately.

• Proficient in MS Office (Outlook/Word/Excel/PowerPoint), knowledge on SAS will be an advantage.

• Articulate and able to demonstrate interest in working within Compliance.

• 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 Mandarin).

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