Senior Analyst, Transaction Monitoring

7 days ago

Hong Kong, Central and Western District, Hong Kong SAR China ACCA Careers Full time

Transaction Monitoring & Name Screening (Analyst/Senior Analyst)

Key Responsibilities and Accountabilities:
  • Conducts daily Transactions Monitoring and Name Screening (NS) reviews, liaising with Frontline and Compliance colleagues to identify true and false positive hits with justification.
  • Independently conducts meta research and performs detailed investigations on clients from a TM and NS perspective, identifying relevant risks and capturing them adequately in the TM/NS files.
  • Advises on the development of Name Screening updates and participates in UAT testing for the Name Screening Systems.
  • Understands and oversees risks driving the client's overall CDD risk, including sanctions, money laundering, and terrorist financing within the Rabobank organization.
  • Actively shares internal and external knowledge, acting as an advisor to stakeholders and senior management on policy, business changes, special projects, money laundering, risk assessment, and financing of terrorism in the global network.
  • Thinks strategically and implements improvements, collaborating with internal and external stakeholders to achieve results.
  • Continuously improves policies, processes, and systems for transaction monitoring/filtering.
  • Develops and delivers management reports and MI.
  • Advises on processes and directs necessary process changes.
  • Supports functional lines and supervises AML officials in the global network.
  • Manages complex internal and regulatory investigations, dealing with high-complexity files and multidisciplinary issues that influence the organization.
  • Updates various systems on TM and NS results and mitigation rationales.
  • Has knowledge of applicable rules and handling guidelines, maintaining this knowledge at hand.
  • Performs operational-level analysis for high-complexity files/meta investigations in a correct, timely, and complete manner, assessing reports/signals (Wwft) on risk factors applicable to Rabobank.
  • Reviews TM and NS hits daily, performing in-depth investigations using internal/external sources on TM and NS alerts/cases generated from systems or red flags triggered from other sources, coordinating with the concerned client owner as required.
  • Organizes and acts in "warm" file hand-over and theme investigations within the department.
  • Ensures allocated workload and targets are completed within agreed timelines.
  • Develops and implements improvement proposals in policy, guidelines, instructions, etc., in the discipline of the unit (Wwft).
Job Requirements:
  • At least 3-8 years of solid experience in AML/KYC, having conducted TM and NS reviews.
  • Ability to support Enhanced Due Diligence cases when required.
  • Sound understanding of various risk elements driving the overall CDD risk of wholesale customers.
  • Strong drafting skills to appropriately capture red flag indicators in TM, justify the rationale behind alerted transactions, and draft SAR reports in line with regulatory requirements, following escalation protocols.
  • Strong discipline in record-keeping and maintenance.
  • Quick starter, able to work independently.
  • Effective communication skills with people of different functions and levels of seniority.
  • Ability to identify potential issues.
  • Proficiency in Microsoft Excel and Word.
  • Good command of both spoken and written English, preferably Mandarin and Cantonese.
Desirable:
  • CAMS certification or any relevant AML/KYC-related certification would be an additional advantage.
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