Senior Associate, CDD/KYC Regulatory Reporting Specialist, Governance & Controls, Vickers Securities

Business Function
DBS Vickers (Hong Kong) Limited is part of DBS Vickers Securities Group, one of the largest securities brokerages in Singapore and a leading institutional and retail brokerage in Asia. Backed by the financial strength of DBS Group, we offer a broad range of services from wealth management, financial advisory, research and brokerages.
Responsibilities

• Develop and implement the quality control for CDD review and perform on-going review of the AML/CFT/Sanctions compliance risk governance framework and related controls
• Act as a Subject Matter Expert for KYC/CDD and Trade Surveillance, provide advice and training to Business and Support Units and promote control and compliance culture
• Enhance internal workflow and collaborate with internal stakeholders for related process and control review
• Conduct independent quality check of clients' profiles including Client Corporate Structure, Source-of-Wealth, KYC, Tax, US Indicia, Sanctions, PEP and Client Risk Score to ensure adherence to regulatory requirements and internal guidelines
• Perform risk & control self-assessment ("RCSA") and oversee the design and operation effectiveness of CDD review process to ensure timeliness of CDD reviews and proper governance of overdue CDD cases
• Update AML procedures and operating manuals, enhance of KYC process and provide support in AML / Fraud investigations
• Take lead in regulatory compliance process which includes communication with regulators and other affiliates to respond to regulatory requests, enhancement of the existing reporting workflow and updating business of any related change in regulatory requirements

Requirements

• University degree holder with minimum 4 years of relevant experience in KYC/AML/CDD transaction surveillance
• Good knowledge of regulatory/statutory policies and industry best practices in relation to Financial Crime Risk and AML procedures
• Qualification of Certified AML Professional preferrable
• Well versed with regulations applicable to brokerage and risk management principles would be an asset
• Strong analytical and problem solving skills with the ability to apply risk-based assessment in the resolution of complex issues
• Self-motivated and capable of managing multi-tasks
• Strong people and communication skills with good command of written and spoken English
• Proficiency in MS Office applications including Excel and Powerpoint

Candidate with less experience will be considered for the position of Associate.
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We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognizes your achievements.
We regret only shortlisted candidates will be notified.