- To conduct selected CDD review, checking, acting as AML/CFT advisor for marketing staff and provide consultancy role on CDD handling;
- The review includes but is not limited to the adherence to the internal policies for customer due diligence, the operational aspect of handling CDD, and to advise staff on the risk perspective of the customer in the AML/CFT area;
- To advise on the account opening procedure and to assist in smoothening the process;
- Be able to align with other banking compliance team's staff within the division if there is such requirement during the process;
- Strive for continuous improvement in the process involving CDD and its related tasks and be able to formulate the solution, organize the discussion, and arrange for cross-division coordination for implementation;
- Be able to assist marketing staff in handling SAS alert and offer advice on the customer risk observed;
- Strive for continuous improvement in the process involved in transaction monitoring and be able to formulate the solution, organize the discussion, and arrange for cross-division coordination for implementation;
- The role primary is on AML/CFT, but potentially touch on other general compliance matters related to the division
- Observe the need and arrange training for staff;
- Organize and lead regular monthly compliance meetings with senior management in the division;
- Organize and lead the regular meeting with operations and other second line departments for resolving issues, improve understanding, and ultimately for the improvement of the process involving CDD and TM;
- Provide briefing for the division's senior management for the quarterly anti-money laundering committee on the meeting pack;
- To build or review the related policies and procedures, guidelines, and workflow for the team as well as for the division;
- To assist on ad hoc basis to resolve system issues in relation to CDD, account opening, or other areas;
- Other ad hoc improvement projects to perform for the division.
- At least 5 - 6 years of banking experience with at least 2 - 4 years gained through job responsibilities that involved AML/CFT;
- Holder of AAMLP at least, or preferably CAMLP, or holder of CAMS;
- Preferably to have Knowledge of various banking compliance rules and regulations;
- Proven experiences in process improvement;
- Independent, initiative, and strive for improvement;
- Understand frontline operation and business dynamics.
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Manager, Business Compliance - Hong Kong, 香港 - Dah Sing Bank
描述
Main Responsibilities:
Incumbent Requirements:
Hong Kong的Manager, Business Compliance从业者
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Leung Ting Duncan Lau
Property and Hospitality Management Professional