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Assistant Vice President, Compliance Department Hong Kong - AML

SMBC Group • Full Time • Quarry Bay, HK • 19h ago

Job Duties & Responsibilities:

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;
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 or suspicious transaction / alert review, enquires / risk assessment and advice on matters related to transaction filtering (“TF”), transaction monitoring (“TM”) or sanctions compliance;
Maintain and update the AML/CFT/Sanctions related policies and procedures in accordance with Head / Regional office guidelines and industry guidance;
Assist or support Compliance management / supervisors in monitoring and detecting any business relationships or transactions suspected of money laundering, and prepare suspicious transaction reports or other filings as necessary;
Review all internal disclosures and exception reports and all available relevant information to determine whether or not it is necessary to make a report to the respective authorities;
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;
Prepare reports, plan and perform gap analysis and/or risk assessment in accordance with the requirements set out by Head / Regional or Hong Kong office;
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 Sanctions 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 / supervisors.

Requirements:

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 4-6 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.
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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