- Due Diligence
- Internal Audit
- Know Your Customer (KYC)
- Wealth Management
Compliance Officer - WM Account Opening
Location: HK-Hong Kong (HK)-Hong Kong
- To carry out the client acceptance and review process; and to ensure new/existing accounts are in compliant with group/local KYC policies, especially with issues such as money laundering, client due diligence, know your client process, sanctions, PEP, adverse media and transaction monitoring.
- To assist in coordination of regulatory, and/or internal audit/inspection and investigation.
- To assist in coordination with Compliance function of Head Office.
- To ensure compliance with applicable laws and regulations. Keep abreast on new regulations and to update Management and staff on changes in regulations.
- To identify and control compliance risks, implement monitoring measures where required.
- To advise Business and Functions on compliance and regulatory issues.
- To support in implementing policies and procedures as a result of changes in Head Office directive or local laws and regulations and updating such rules and regulations relevant to Wealth Management.
- To provide training on compliance issues and promote compliance awareness and culture.
- To assist in preparing relevant compliance reports pertaining to Wealth Management for submission to Head Office and ensuring the accomplishment of the Department’s mission.
- To promptly complete tasks/projects as and when assigned by supervisors.
Competencies (Technical / Behavioural)
- Familiar with Hong Kong laws and regulations.
- Work well with people and under pressure.
- A good knowledge of compliance framework.
- Have strong communication skills.
Specific Qualifications Required
- A graduate of a tertiary institution.
- At least 7 years compliance experience in wealth management.