Assoc. Director / Director, Distributor Monitoring and Transaction Surveillance - Anchorpoint

Accounting / Audit • Full Time • Central And Western District, Hong Kong, HK • 2d ago

Job Summary

The Associate Director / Director, Distributor Monitoring & Transaction Surveillance (DMTS) will be responsible for driving the ongoing monitoring of onboarded distributors, carrying out wallet screening and end-to-end management of related escalations (from transaction screening and monitoring to assisting with in-depth investigation and resolution of suspicious on-chain activities alerts), and assisting with our ongoing effort to develop best-in-class frontline practices in AML/CTF for stablecoin transaction

Reporting directly to the Chief Commercial Officer, the role sits within the Client Coverage function to support its overall mandate of delivering best-in-class services and transaction execution experience to institutional distributors. This role works closely with coverage staff to handle distributor interactions and partners closely with Risk/Compliance and other internal teams, to ensure rigorous adherence to our organization’s Customer Due Diligence (CDD), Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) policies, procedures and controls.

Key Responsibilities

Strategy

Play a key role in the rollout and implementation of our screening and transaction surveillance measures, alert framework, and remedial mechanisms
Stay informed with latest technological solutions and monitoring/screening approaches available in the market and share relevant insights with leadershi

Business

Ongoing monitoring of wallets, transactions and other dealings with distributors
Utilise advanced blockchain analytics tools and potentially other internal platforms to monitor transactions for irregularities, red flags and potential illicit activities based on defined risk and alert parameters
Work closely with Coverage staff to assist with their onboarding/CDD review of distributors, and provide first-line confirmation on screening results prior to any transaction executions
Perform name screening as part of CDD review
Undertake and assist with required actions under Risk/Compliance's instruction, e.g. client offboarding, account or wallet blocking, etc
Responsible for raising RFIs as part of transaction surveillance and client monitoring
Prepare Suspicious Transaction Reports (STR) and escalate to Risk/Compliance
Ensure client transactions and activities are in compliance with our organization’s CDD, AML and CTF policies and relevant regulatory requirements
Monitor and help resolve any issues or concerns that may arise during distributor onboarding process and in their ongoing relationships with our organizatio

Processes

Provide inputs and suggestions to the Chief Commercial Officer on potential ways to optimize and improve the best practices in execution, operation and screening processes
Ensure strict adherence to our standard transaction execution and approval processes
Maintain accurate and up-to-date records of distributor interactions, abnormal activities, screening and transaction reports
Propose process improvements, enhancement and simplifications where appropriate

Risk Management

Understand technical aspects of policies and systems relevant to CDD, Client Risk Assessments, Name and Transaction Screening, AML Monitoring and Case Management
Support with the alignment of relevant systems and controls to industry best practice and assist Risk/Compliance to close out any gaps
Apply risk and data analytic tools/techniques to optimize and tune relevant detection scenarios, and screening and monitoring systems
Work closely with Risk/Compliance to ensure that the relevant lists and database as used by the screening systems are up to date
Apply our organization’s policies and processes (AML surveillance, client screening, risk assessment) to manage risk

Governance

Collaborate with internal teams to obtain context and insights related to flagged activities and further escalate any identified issues (if applicable)
Create regular management reporting in relation to client wallet and transaction surveillance, and potentially asset-level analysis of usage/transaction pattern
Ensure quality assurance is in place to continuously review our transaction monitoring and name screening practices
Assist with BCP testing, if and when required

Qualifications

Degree holder
Strong experience in financial crime compliance or transaction surveillance in financial services industry
Minimum 2 years of relevant experience in the digital asset space
Have solid knowledge of the relevant regulations and requirements on AML/CTF and sanctions in Hong Kong (and preferably across other jurisdictions in Asia and Middle East)
Proficiency in commonly used KYC/name-screening tools (e.g. World-Check) and blockchain analytics tools (e.g. Chainalysis)
Fluent in English and Chinese (Mandarin); proficiency in additional Asian language is a big plus
Relevant industry certifications such as ECF on AML (professional level) and ACAMS, etc are preferred

Other competencies and behavioural skills

Ability to exercise good judgement, responsible, and organized
Intellectual curiosity and strong interests in stablecoin or digital asset space
Excellent verbal and written communication skills
Strong problem-solving skills and the ability to handle multiple tasks simultaneously
Ability to work effectively both independently and as part of a team
Approachable, attentive, able to work under stress and has a positive attitude

What we offer

In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.
Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
Flexible working options based around home and office locations, with flexible working patterns.
Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.

www.sc.com/careers

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