- Anti Money Laundering (AML)
- External Audit
- Know Your Customer (KYC)
- Microsoft Excel
- Microsoft Exchange Server
- Microsoft Word
- Process Improvement
- Quality Assurance
AssiCompliance AML Execution Senior Analyst
Location: APAC-HKG-Hong Kong-Hong Kong
- The Quality Assurance team acts as a trusted body with a commitment to quality and process improvements, having an ultimate objective to identify areas of improvement and opportunities in the method in which the investigative analysts review and assess anomalous behaviors. The team’s responsibilities include identifying and reporting potential issues, submitting recommendations on a variety of developmental opportunities and/or best practices.
- Purpose of Role: Responsible for reviewing anomalous activity alerts/cases as a control to ensure accuracy, completeness and compliance with regulatory, internal/external audit requirements and policy/procedural requirements. Responsible to maintain interactions with global QA Team to ensure the execution of the QA program in a consistent manner. Decision-making on when to issue a QA observation.
- Perform Quality reviews of the investigation cases including cases resulting in STR, to ensure they meet regulatory requirements, emphasizing on the accuracy of the information contained in the STR.
- Verify that all required post investigation actions were initiated by the Investigation Analyst
- Able to perform independent research and appropriate collection and analysis of documents to assist in identifying unusual transaction patterns
- Prepares QA reviewer reports with observations summary.
- Ambassador of best practices and facilitator of knowledge of money laundering processes.
- Ensures that the Quality Assurance process is executed in adherence with global standard policies and procedures, using global standard tools.
- Keeps regular interactions with global QA Team in order to exchange the standards on QA Program and keep consistency in QA execution.
- Adheres to global standard policies and procedures.
- Operates within agreed business SLAs and confidentiality standards
Skills and competencies:
- A person in this role has a passion for uncovering the truth and exposing potential criminal activities. He/she has a genuine interest in the news and current affairs with the ability of cross referencing them during investigations. He/she is methodical, analytical, open minded and have the desire to thoroughly and accurately research, extract, compile and connect information from various sources. Additional requirements:
- Graduate Degree from a recognized university (Accountancy, Banking, Business, Economics or Law) or relevant professional qualification in financial services or audit.
- Minimum three (3) years’ experience in:
- Conducting AML investigations, including undertaking customer transaction reviews and open source research, with the aim of identifying potentially suspicious activity
- Conducting Know Your Customer (KYC) related tasks, particularly on high risk customers
- Good knowledge of English and high standard of written and oral communication skills.
- Strong analytical skills and attention to detail
- Demonstrated initiative and creativity in problem solving
- Organized, disciplined and highly responsible
- Presentation skills and ability to build strong arguments to justify his/her decisions
- Demonstrated ability to work independently, interact effectively, with different levels of management and to operate with excellent corporate work ethics (timely, honest, respectful and considerate to co-workers)
- Good understanding of Windows applications (Word, Excel, etc.) and Internet & commercial database searches