Compliance Risk Manager

5 days ago

Hong Kong, Central and Western District, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

About the Role:

We are seeking an experienced Compliance Risk Manager to join our team at Bank of China (Hong Kong) Limited. As a key member of our Private Banking department, you will be responsible for ensuring adherence to internal and external requirements, identifying potential risks, and providing recommendations to mitigate relevant threats.

Key Responsibilities:

  • Transaction Monitoring: Conduct thorough reviews of transactions to identify potential AML/Financial Crime/Fraud risks, preparing management reports and providing recommendations for mitigation.
  • KYC Profile Review: Carefully review KYC profiles and account opening/review documents to ensure compliance with regulatory requirements.
  • Risk Monitoring: Conduct regular and ad-hoc risk monitoring and transaction reviews to identify potential risks and implement controls.
  • Regulatory Compliance: Work closely with business stakeholders and second-line-of-defense teams to implement regulatory and internal requirements on private banking operations.
  • Self-Assessment and Reporting: Conduct regular self-assessments, gap analyses, surveys, and independent reviews against AML-related internal and regulatory requirements, recommending follow-up actions as needed.
  • Reporting and Training: Prepare regular and ad-hoc internal reporting to senior management and second-line-of-defense teams, as well as assist in conducting training to promote a compliance culture within the organization.
  • Suspicious Transaction Investigation: Assist in investigating suspicious transactions and work on regulatory reporting matters, including coordinating with other departments and preparing responses.
  • Staff Training and Development: Provide staff training where required and assist with other ad-hoc tasks as assigned.

Requirements:

  • Education: Degree or above
  • Experience: 4+ years working experience in banking and finance, with at least 2 years in relevant private banking AML Compliance; strong AML knowledge is an advantage
  • Skills: Independent, excellent analytical, time management, and interpersonal skills, with ability to prioritize tasks
  • Language Proficiency: Proficient in written and spoken English and Chinese
  • Regulatory Knowledge: Familiar with HKMA/SFC regulatory requirements

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