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Senior Compliance Officer, Transaction Surveillance

2 months ago

Hong Kong, Central and Western District, Hong Kong SAR China DBS Bank Full time
About the Role

We are seeking a highly skilled and experienced Senior Compliance Officer to join our Group Legal, Compliance & Secretariat team at DBS Bank. As a key member of our team, you will play a critical role in ensuring the bank's interests are protected and its reputation and capital are safeguarded.

Key Responsibilities
  1. Assist Business Units and Subsidiaries in Compliance with AML/CFT Requirements
  • Provide prompt and constructive advice to relevant stakeholders on compliance with AML/CFT requirements, particularly on transaction surveillance and suspicious transaction reporting.
  • Stay up-to-date with legal and regulatory requirements and developments in the AML/CFT framework, and perform gap analyses as necessary.
  • Act as a key liaison point with Business Units and Subsidiaries to address issues arising from updates and changes in legal and regulatory requirements.
  • Facilitate the implementation of necessary initiatives and changes internally.
Manage the Transaction Surveillance Unit
  • Oversee the quality of investigations and ensure they are performed in compliance with the bank's relevant procedures and regulatory requirements.
  • Ensure investigations are managed within the required timeline and justifications for any delayed completion of investigations are documented properly.
  • Ensure all suspicious transaction reports are duly reviewed and accurately submitted to the Joint Financial Intelligence Unit as soon as practicable.
Ensure Understanding of Group Policies, Procedures, and Guidelines
  • Provide constructive feedback on any implementation or changes of Group FCSS's policies, procedures, and guidelines.
  • Ensure the parameters, thresholds, and relevant risk factors used in the transaction monitoring system are subjected to periodic review to ensure system effectiveness in detecting unusual account activities.
Enhance Governance and Control over Transaction Surveillance-Related Processes
  • Review existing processes and design and implement an appropriate governance and control framework to minimize process/control failures.
  • Keep up-to-date with AML/CFT typologies and red flags and make effective communications with Business Units/Subsidiaries to ensure they are aware of emerging techniques and trends in money laundering/terrorist financing.
  • Ensure analysts are adequately trained to carry out investigations properly.
Handle and Respond to Enquiries and Requests from Regulatory Authorities and Internal Audit
  • Handle and respond properly to enquiries made by regulators, law enforcers, and internal audits.
  • Timely reporting and escalation of significant risk issues arising from transaction surveillance and assurance processes to senior management.
Requirements
  1. Degree holder
  2. Preferably 8-10 years of relevant compliance and/or AML/CFT experience acquired from international banks, with at least 5 years in a supervisory role.
  3. With a qualification of Associate AML Professional (AAMLP) or Certified AML Professional (CAMLP) preferred.
  4. Strong understanding of consumer, corporate, and private banking products, services, and transactions.
  5. Strong compliance and risk control concept.
  6. Background in system/project management, software, and IT program skills would be a strong advantage.
  7. Ability to cope with a highly demanding and fast-paced banking environment.
  8. Competency to work in a matrix international organization.
  9. Demonstrate sound commercial experience and judgment.
  10. Superior interpersonal, leadership, communication, and negotiation skills, with the ability to network, successfully 'engage' and influence business.