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Compliance Manager

1 week ago

Hong Kong, Central and Western District, Hong Kong SAR China LU AN CREDIT Full time

About the Company - We are a Group member of PING AN and a fast-growing money lending company focused on SME lending, seeking an experienced and results-oriented Compliance Manager to lead our compliance efforts.

About the Role - Act as a checker/maker role on ongoing customer due diligence and ongoing review (e.g. name screening, company search, review supporting documents of account application, conduct customer risk assessment, etc.). Perform quality checks ensuring compliance with Money Lender or relevant KYC/AML regulatory requirements for onboarding customers and knowledge of Customer Due Diligence documentation standards and requirements. Review and prepare work reports for management review. Demonstrate commitment to meet regulatory compliance and high ethical standards. Supervise and provide guidance to junior staff to ensure the quality of compliance review (for checker). Keep abreast of the latest regulations. Perform ad-hoc tasks as required.

Responsibilities

  • Act as a checker/maker role on ongoing customer due diligence and ongoing review (e.g. name screening, company search, review supporting documents of account application, conduct customer risk assessment, etc.)
  • Perform quality checks ensuring compliance with Money Lender or relevant KYC/AML regulatory requirements for onboarding customers and knowledge of Customer Due Diligence documentation standards and requirements
  • Review and prepare work reports for management review
  • Demonstrate commitment to meet regulatory compliance and high ethical standards
  • Supervise and provide guidance to junior staff to ensure the quality of compliance review (for checker)
  • Keep abreast of the latest regulations
  • Perform ad-hoc tasks as required

Qualifications - Bachelor's Degree in Banking, Finance, Business Administration or related business disciplines.

Required Skills

  • Possess 1-4 years' work experience, depending on the maker/checker role, with experience gained from financial institutions, professional firms or regulatory bodies
  • Good understanding of Money Lender AML Guidelines and working experience in AML Compliance or regulatory fields will be a plus
  • Proficient in PC skills including MS Word and Excel
  • Meticulous attention to detail to ensure accuracy and reliability in case assessments and reporting
  • Good command of spoken and written English and Chinese
  • Immediately available is highly preferred

Pay Range and Compensation Package - Pay range or salary or compensation.

Equal Opportunity Statement - Include a statement on commitment to diversity and inclusivity.

Seniority Level
  • Mid-Senior level
Employment Type
  • Full-time
Job Function
  • Legal and Finance
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