Compliance Specialist

3 days ago

Hong Kong, Central and Western District, Hong Kong SAR China CSC Global Financial Markets Full time

Responsibilities

  • Assist in the development and implementation of KYC policies and procedures in accordance with regulatory requirements.
  • Ensure thorough due diligence processes for onboarding new customers and vendors, as well as periodic review of existing ones.
  • Perform compliance testing on the client's KYC profile to ensure that the CDD is in accordance with KYC requirements, identifying any discrepancies and proposing potential enhancements.
  • Provide guidance on client risk assessments, particularly for high-risk clients, and address KYC and transaction-related inquiries from business teams and stakeholders.
  • Monitor and assess customer risk profiles to mitigate potential compliance risks.

Regulatory Support & Reporting

  • Assist in preparing reports related to KYC and sanctions compliance for regulatory authorities.
  • Support regulatory inspections and audits by providing relevant documentation and responding to inquiries.
  • Maintain accurate records of compliance activities, including KYC reviews and sanctions investigations.
  • Deliver compliance training programs to business teams to enhance awareness of KYC and AML regulations.
  • Foster a culture of compliance and risk awareness across the organization.

Risk Management, Monitoring & Escalation

  • Identify and assess compliance risks associated with KYC, AML, and sanctions.
  • Support the implementation of risk-based strategies for compliance monitoring and issue escalation.
  • Assist in investigations related to suspicious activities, sanctions, and enhanced due diligence cases.
  • Promptly escalate identified risks, compliance breaches, or suspicious activities to Management.
  • Maintain comprehensive records of KYC data, sanctions checks, and compliance decisions.
  • Work closely with the Compliance Team and cross-functional teams to ensure seamless execution of compliance activities.
  • Collaborate with business units to address and resolve compliance-related issues effectively.
  • Partner with legal, audit, and risk management teams to identify and mitigate compliance gaps.

Qualifications & Requirements

  • Bachelor's degree in Finance, Accounting, Law, or a related field.
  • Prior experience in Funds Administration is an advantage.
  • Minimum of 5 years of relevant experience in Anti-Money Laundering (AML) compliance.
  • Strong knowledge of AMLO and other AML-related laws and regulations.
  • Highly detail-oriented, self-motivated, and proactive.
  • Independent, responsible, and team-oriented, with strong problem-solving skills.
  • Excellent communication skills in both written and spoken Chinese and English.
  • Strong interpersonal skills with the ability to collaborate effectively across teams.

If you meet the qualifications and are eager to contribute to a dynamic compliance team, we invite you to apply and be part of our organization.

#J-18808-Ljbffr

  • Compliance and Governance Specialist

    3 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Tbwa ChiatDay Inc Full time

    Compliance and Governance SpecialistWe are looking for a Compliance and Governance Specialist to provide guidance on the design and implementation of key security controls, tools, and technologies. As a member of the Technology Governance & Compliance team, you will work closely with cross-functional teams to enhance the security of all OKX products and...

  • Banking Compliance Specialist

    1 day ago

    Hong Kong, Central and Western District, Hong Kong SAR China PERSOLKELLY Full time

    About the RoleThis is an exciting opportunity for a Banking Compliance Specialist to join our team at PERSOLKELLY. As a specialist in regulatory reporting, you will play a critical role in ensuring our client's compliance with relevant regulatory requirements.Your responsibilities will include:Performing risk assessments and developing mitigation strategies...

  • Risk and Compliance Specialist

    1 day ago

    Hong Kong, Central and Western District, Hong Kong SAR China JustOneGalaxy Recruitment Full time

    Risk and Compliance SpecialistThis is a unique opportunity for a detail-oriented Risk and Compliance Specialist to join our team at JustOneGalaxy Recruitment.The successful candidate will have a strong background in risk management, with a proven ability to ensure compliance with industry rules and regulations.Key Responsibilities:Develop and implement risk...

  • Senior Compliance Specialist

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China ConnectedGroup Full time

    OverviewWe are seeking a Senior Compliance Specialist to enhance compliance initiatives at ConnectedGroup, a global insurance company. The ideal candidate will have strong knowledge of key regulatory requirements related to compliance risks and audit controls.Salary and BenefitsOur competitive salary package includes year-end bonus and opportunities for...

  • AML Compliance Specialist

    23 hours ago

    Hong Kong, Central and Western District, Hong Kong SAR China The Bank of East Asia, Limited (BEA) Full time

    The Bank of East Asia, Limited (BEA) is seeking a highly skilled AML Compliance Specialist to join its team. The ideal candidate will have a minimum of 4 years' experience in the financial services industry, preferably in anti-money laundering compliance.Responsibilities:Review and comment on the Bank's manuals, policies, and guidelines from an...

  • Supply Chain Compliance Specialist

    2 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China ConnectedGroup Full time

    Job DescriptionWe are looking for a highly skilled Supply Chain Compliance Specialist to join our team at ConnectedGroup. As a key member of our global sourcing team, this individual will be responsible for ensuring that our suppliers adhere to the highest standards of social responsibility and sustainability.The successful candidate will have a deep...

  • Compliance Risk Management Specialist

    2 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China CSC Global Financial Markets Full time

    About CSC Global Financial MarketsCSC Global Financial Markets is a leading provider of financial services, committed to delivering innovative solutions to our clients. We are seeking an experienced Compliance Risk Management Specialist to join our team.Job SummaryThe Compliance Risk Management Specialist will be responsible for ensuring that all aspects of...

  • Asset Management Compliance Specialist

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Full time

    Ashford Benjamin is a leading recruitment agency supporting top asset managers in the APAC region. This exciting opportunity for Compliance Specialists allows them to gain valuable experience covering alternative investment funds.The role involves providing compliance advisory services to fund businesses, managing employee compliance matters, staying updated...

  • Compliance Risk Specialist

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China OSL Full time

    About the Role:OSL is seeking a highly skilled Compliance Risk Specialist to join its team in Hong Kong / Singapore. As a key member of our compliance function, you will play a critical role in providing regulatory compliance support to firmwide initiatives and projects. Key Responsibilities:Develop and maintain an effective compliance program that satisfies...

  • AML Compliance Specialist

    15 hours ago

    Hong Kong, Central and Western District, Hong Kong SAR China Pure Hong Kong Full time

    **Company Overview**Pure Hong Kong is a leading financial services company committed to providing high-quality solutions for its clients.We are currently seeking a highly skilled AML Compliance Specialist to join our team in Hong Kong.**Job Description**The successful candidate will be responsible for providing KYC/AML advisory services to various business...

  • Compliance Specialist for Fund Businesses

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Full time

    Ashford Benjamin is looking for a skilled Compliance Specialist to join their Hong Kong team. This mid-senior level position offers a unique opportunity for experienced professionals to apply their expertise in fund businesses and expand their knowledge of regulatory requirements.The successful candidate will provide critical support to fund businesses by...

  • Supply Chain Compliance Specialist

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China ConnectedGroup Full time

    About the PositionAs a Supply Chain Compliance Specialist at ConnectedGroup, you will play a critical role in upholding our commitment to social responsibility and sustainability in the EU hardgoods market. Your primary focus will be on developing and implementing effective compliance strategies to ensure our suppliers meet the highest standards.Key...

  • Compliance Professional

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Ltd Full time

    About Ashford Benjamin LtdA leading investment bank and capital market, our company is committed to delivering high-quality services.Job Description: Compliance SpecialistWe are seeking a highly skilled Compliance Specialist to join our team.ResponsibilitiesCompliance Advisory: Provide expert advice on internal and transaction-related compliance matters to...

  • Senior Compliance Specialist APAC

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China SGS Société Générale de Surveillance SA Full time

    Job Overview:We are seeking a highly experienced Senior Compliance Specialist to join our team in Asia Pacific. The successful candidate will be responsible for providing expert advice on compliance risks and policies across the region.Key Responsibilities:Provide expert advice on compliance risks and policies;Conduct regular risk assessments and monitoring...

  • Tax Compliance Specialist

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Synpulse8 Full time

    About the Role:We are seeking a highly skilled Senior Tax Specialist to join our team in Hong Kong. This is an excellent opportunity for experienced professionals who wish to gain regional to international tax experience in a dynamic company that is growing in APAC and globally.The successful candidate will be responsible for managing and maintaining...

  • Financial Crime Compliance Specialist

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Full time

    We are seeking an experienced Financial Crime Compliance Specialist to join our team at Ashford Benjamin. This is an exciting opportunity for a senior professional to drive the full spectrum of anti-money laundering (AML) work in the APAC region.The successful candidate will serve as a key advisor on AML/KYC matters, providing guidance on compliance...

  • Financial Crime Compliance Specialist

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

    Company OverviewLarson Maddox is a leading financial institution dedicated to delivering exceptional services and fostering a culture of excellence in compliance. Our team works tirelessly to ensure the highest standards are met, and we strive to make a positive impact on the community.Job DescriptionWe are seeking an experienced Financial Crime Compliance...

  • Compliance Specialist Position for AML Expert

    2 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China HARBRIDGE PARTNERS Full time

    At Harbridge Partners, we are seeking a highly skilled and experienced Compliance Specialist to join our team in Hong Kong.About the Role:The Compliance Specialist will be responsible for managing the AML/CTF team, providing guidance and advisory services to senior management and business units, and developing and implementing AML/CTF policies and...

  • Financial Compliance Specialist

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China TalentQuest HR Limited Full time

    TalentQuest HR Limited seeks a skilled Financial Compliance Specialist.Job Description:This role is critical in ensuring that our corporate/SME clients adhere to all relevant regulatory requirements and the Bank's internal policies and guidelines.We engage in periodic reviews of Customer Due Diligence for our corporate/SME clients.The successful candidate...

  • Regulatory Compliance Specialist

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China TalentQuest HR Limited Full time

    About UsTalentQuest HR Limited is a leading provider of recruitment solutions, dedicated to delivering exceptional results for our clients and candidates.Job DescriptionOverviewThis is an exciting opportunity for a seasoned Regulatory Compliance Specialist to join our team. As a key member of the compliance department, you will play a critical role in...