Job Description

• Work closely with FCC, CROs, MGHs, ADU, and other relevant parties to coordinate and oversee activities related to client account opening, periodic reviews, triggered event reviews and changes of client circumstances.

• Act as a Subject Matter Expert (SME), providing guidance to the Front Office on matters related to client life cycle management.

• Prepare and deliver regular management information reports, updating senior management on the progress and status of client onboarding and review processes.

• Conduct comprehensive due diligence and KYC assessments on client profiles, including source of wealth verification, transaction monitoring, and screening, in accordance with regulatory and internal requirements.

• Identify, assess, and escalate potential AML/KYC risks to Business Management and Compliance as appropriate during the review process

• Follow up with CRO/CSO to request supplementary documentation and ensure the timely completion of Account Opening, Periodic Review, and Triggered Reviews.

• Act as a Case Manager, oversee, coordinate and track the status of all client onboarding and review cases, ensuring accurate reporting to the Head of PBS COPR

• Conduct training sessions for CRO/CSO on KYC-related matters.

• Lead and facilitate case discussions with the Front Office, Compliance, and ADU to resolve complex issues.

• Contribute to ad hoc initiatives and special projects related to client life cycle management and process improvement.

Requirements:

• Bachelor degree or above in Business Administration, Finance, Economics, or related field
• Sound knowledge in AML/KYC risks with 10 years’ experience in a relevant capacity
• Familiar with the HKMA requirements on AML and financial crime
• Demonstrated ability to work with minimal supervision, adapt and adjust to changing work priorities and to multitask
• Detail-oriented and meticulous in reviewing of KYC profiles
• Communicates with clarity and purpose both in written and verbal formats; able to distill complex and varied information into useful, insightful and concise recommendations
• Exceptional soft skills with the ability to challenge the controls while also getting stakeholders buy-in
• Capable of managing multiple tasks and deadlines with timely responses and resolutions
• Proficiency with computer skills as well as pertinent mainframe systems and software packages
• Team player with excellent interpersonal skills and multicultural awareness and sensitivity