- Comprehend AML/CFT laws and regulations and update changes and new developments from time to time.
- Comprehend any applicable sanctions laws and obligations and update changes / new developments from time to time
- Coordinate day-to-day preliminary clearance as to sanctions required by Head Office and comply relevant requirement for recording and storing of screening evidence.
- Design, develop & devise effective AML/CFT program for the branch.
- Ensure implementation of effective AML/CFT program in different units (including but not limited to BPs, Operations, Systems, etc.) of the branch.
- Ensure the implementation and maintenance of a robust sanctions compliance program.
- Ensure the implementation of a clear process for decision making in respect of sanctions issues, including a clear escalation process which sets out the reporting mechanism to the senior management.
- Develop and carry out the training program.
- Conduct regular testing on AML/CFT program in relation to different control measures:
- An evaluation of the methodology of the system (whether manual or system) and what it is designed to identify;
- An assessment of whether the system (whether manual or system) is capturing and evaluating all of the customers and activities that it should be capturing;
- Testing of the system (whether manual or system) to determine whether it is effectively identifying or capturing reportable events or suspicious activities;
- A review of change management procedures and user access controls; and
- An evaluation of the process in place to follow up on identified non- compliance items.
- Carry out specific functions designated under the AML/CFT program, etc. including but not limited to the following:
- Conduct day to day clearance as to sanctions and reporting;
- Disseminate & maintain comprehensive filtering database;
- Notify all staff upon receipt any notification from regulatory bodies and Head Office;
- Conduct day to day suspicious transaction investigation and reporting; and
- Develop and review effective Monitoring Report against all risk factors.
- To prepare and review AML/CFT MIS reports;
- To monitor and make recommendations for process improvement;
- To participate and report in Committee Meeting as needed;
- To provide AML/CFT related advisory to colleagues;
- To provide AML/CFT related training to colleagues.
- We are looking for an individual who has mind-set to initiate changes and improvements for higher productivity/performance;
- Builds an internal and external network to execute regular deals and day-to-day work;
- Builds good working relationship with other members and stakeholders and effectively collaborates with them to achieve Team goals.
- Bachelor's Degree or above in Accounting/ Finance/ Business/ Legal/ Economics or related disciplines;
- At least 1-2 years' experience in AML;
- Proficiency in English and Cantonese.
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Analyst, AML Operation, Financial Crime Compliance Section - Hong Kong, 香港 - Mizuho Bank, Ltd.
描述
About the team
Financial Crime Compliance Section consists of the AML & Sanction Advisory Team, KYC Support Team and Client Servicing Team.
Role requirements
Essential Functions
Competencies
Work experience, education and skills
Company Overview
Mizuho has a long-term commitment to the Hong Kong market. With strong ties to Mizuho's global network and a workforce of over 600 staff in Hong Kong, we are able to help corporations in Hong Kong to expand their business worldwide. Our clients primarily comprise Japanese and non-Japanese corporations (including those domiciled in the PRC), financial institutions, and government and quasi-government organizations. We provide a full spectrum of corporate banking services to our customers including syndicated loans, treasury, transaction banking, financial advisory, project finance, merger and acquisition, leveraged finance, and structured finance.
Why Mizuho
At Mizuho, we provide the stability of an international industry leader with the career trajectory of a growing business. Our steady, strategic growth gives our people at all levels rewarding degrees of responsibility and a richer work experience than a boutique firm or an established giant could offer alone.
It is the local expertise of our employees that makes our global network so powerful. By collaborating with colleagues and clients who have your same ambition and drive, you can amplify your sphere of influence and base of knowledge as part of one of the largest—and growing—banks in the world.
