Business Compliance

3 months ago


hong kong, Hong Kong SAR China Bank of China Full time
Business Compliance & Risk Control Manager (AMC-Compliance & AML related)

Job No.: 494609
Employment Type: Contract, Full time
Departments: BOCHK Asset Management Ltd
Job Functions: Asset Management

Responsibilities:

  • Assisting the team to prepare/review the company's risk management policies, anti-money laundering policies, compliance policies, procedures and work guidelines, and prepare staff training materials.
  • Assisting the team to deal with daily operations, compliance-related, operational risk and anti-money laundering monitoring reports, etc.
  • Coordinate with the introduction of new policies/projects of the Group, and work closely with relevant front-line unit.
  • Work closely with relevant front-line personnel, compliance personnel, operational risk personnel and other relevant personnel in the process.
  • Conduct execution of business inspection work, and review the client on-boarding due diligence documents, employees’ transaction records and licenses, etc. Monitor abnormal situations from daily operations and respond in time, early warning monitoring for risk prevention.
  • Review and check portfolio trading records to ensure internal and regulatory requirements.
  • Handle and respond to inspections, reports and inquiries from regulators of compliance work.
  • Assist in formulating Anti-Money Laundering Compliance checks and implementing related inspections, identifying weak links in control, and proposing and implementing improvement suggestions.
  • Perform ad hoc tasks and projects as assigned.

Requirements:

  • Degree or above with major in Finance, Risk Management, Law or related disciplines.
  • At least 3 years relevant experience, preferably in asset management or banking industry.
  • Good understanding and knowledge of economy, law, finance, financial management, and be familiar with economic and financial laws and regulations and policies.
  • Good communication skills, good comprehensive analysis, coordination and negotiation ability.
  • Good command of spoken and written English, Mandarin and Cantonese.
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