Manager, Financial Crime, Compliance
Description
Position Description
This position is part of the Financial Crime Compliance (FCC) team and is responsible for supporting the firm’s overall compliance framework, with a particular focus on Anti-Money Laundering (AML), Know Your Customer (KYC), and broader FCC-related activities.
The role requires close collaboration with management, business units, operations, and support functions to ensure adherence to applicable laws, regulations, and internal policies, while fostering a strong compliance culture across the organization. The incumbent will work closely with the FCC team to maintain a robust compliance framework, ensure the efficient monitoring of clients and transactions, and facilitate the timely identification and reporting of any irregularities or suspicious activities.
Key Areas of Responsibilities
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Support the FCC team in advising management, business units, operations, and support functions on AML, KYC, and FCC-related requirements; facilitate client onboarding, business initiatives, and negotiations
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Monitor transactions to identify any unusual activity for further investigation; conclude reviews and document results, ensuring necessary reporting to authorities where appropriate
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Conduct risk reviews, remediation, and screenings of clients, vendors, and counterparties
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Monitor regulatory changes and ensure AML and CFT policies and procedures are updated to reflect the latest requirements
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Facilitate understanding among business lines and support functions of AML/FCC policies and procedures, ensuring overall compliance with applicable AML, CFT, and Sanctions laws and regulations
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Participate in compliance projects to refine AML/FCC policies and procedures, and integrate them into firm-wide controls
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Engage actively with departments, middle and back office teams, and headquarters to work seamlessly across entities, fostering consistency and promoting AML/FCC awareness and culture
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Provide input into new business and infrastructure initiatives from a regulatory and best-practice perspective
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Support FCC training for business units and functions, ensuring FCC knowledge is maintained across all staff
Requirements
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Post-graduate degree preferred but not essential, ideally in Business, Accounting, or Law
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3–5 years of relevant experience in compliance and/or assurance, with specialization in AML and KYC
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Strong knowledge of securities laws, operations, products, and services
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Proven analytical skills with the ability to review large volumes of data, identify higher-risk attributes (transactional, geographical, product, customer type, etc.), and take appropriate action
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Ability to multi-task and meet deadlines in a high-pressure environment
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Proficient in MS Office (Outlook, Word, Excel, PowerPoint); knowledge of SAS is an advantage
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Self-motivated, well-organized, well-presented, independent, with a pleasant personality
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Excellent interpersonal skills and strong command of written and spoken English and Chinese (including Putonghua)
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Candidates with less experience may be considered for the role of Assistant Manager
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