KEY RESPONSIBILITIES AND DUTIES: 

Regulatory/General Compliance

• Processing Licensing requests including CPT, due diligence review etc.
• Conflicting management including Gift and entertainment, PAD
• Training and regulatory update
• Core and Regulatory Compliance tasks
• Managing projects and meetings
• Perform Transaction Monitoring and AML/ CFT 2nd Level controls
• Perform investigations and completion of suspicious transaction / activity reports
• Support the implementation AML/ CFT monitoring program (from customer on-boarding to transaction monitoring) in accordance with local and Head Office standards
• Support enhancement of processes and controls for transactions monitoring and sanctions checks
• Support the preparation of AML/ CFT related reporting to regulatory and Head Office
• Any other duties as assigned

Others Responsibility

• Attend to audit (internal and external) requests/ queries, issues and taking corrective action.
• Handle tasks under AML/ CFT/ Sanctions related ad-hoc projects as assigned.
• Work closely and coordinate with the Asia Compliance teams (Hong Kong, Tokyo, Singapore) to ensure that common policies such as AML/ CFT, financial sanctions re consistent in Asia.
• Leave cover for each other (Hong Kong, Tokyo, Singapore Branches) with regards to the TCM query checks.
• To render support in relation to sample checking of relevant AML/ CFT/ Sanctions related topics (2nd level controls).

 REQUIREMENTS:

• Degree/ Diploma holder in accounting, finance, law, computer, economics, statistics or other financial markets/banking industry related discipline;
• Minimum of 3 years’ experience working in the banking/financial services industry handling compliance, operations, KYC/monitoring, audit or risk work;
• Knowledge in using tools for searches and database extraction, proficiency in excel and other statistical tools;
• Good command of English, oral and writing;
• Attention to details and analytical mind, good inter-personal skills;
• Experience in general/regulatory compliance would be preferred.
• Team working spirit
• Can do attitude
• Willing to learn and take ownership