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Senior Associate, AML/CFT APAC

Hong Kong, Hong Kong
Closing date
Jun 8, 2024

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Experience Level: Experienced Hire

  • Corporate Services
  • One Pacific Place, Floor 24, 88 Queensway, Admiralty Hong Kong, HK
Moody's is a developmental culture where we value candidates who are willing to grow. So, if you are excited about this opportunity but don't meet every single requirement, please apply! You may be a perfect fit for this role or other open roles.
Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions.
At Moody's, we're taking action. We're hiring diverse talent and providing underrepresented groups with equitable opportunities in their careers. We're educating, empowering and elevating our people, and creating a workplace where each person can be their true selves, reach their full potential and thrive on every level. Learn more about our DE&I initiatives, employee development programs and view our annual DE&I Report at
Role summary:
This role is responsible for internal and customer facing support related to MIS AML/CTF program and controls function in APAC that ensures MIS meets both its United States regulatory obligations and its AML/CTF country regulatory obligations. Under the supervision of the AVP, Commercial Customer Screening, AML/CFT, this role works with internal functions to perform quality checks and ensure all client KYC records are compliant with regulatory standards along with being a key contributor to collaborative initiatives with Technology.

Key Accountabilities:
  • Perform quality checks over AML and KYC records to ensure high quality standards are maintained in strict adherence with MIS policies, procedures and AML Operational Guidelines
  • Review, analyze client KYC information and ascertain whether on-boarding or periodic review of the client will post additional AML and reputation risk
  • Review customer risk assessment and ensure conclusions are clear, complete and supported by the information in the file
  • Review of client documentations in accordance to regulatory requirements
  • Work with Legal and Compliance to review documentation requirements and address exceptions to complete the KYC reviews
  • Work with the different levels of the Commercial Group, Legal and Compliance to ensure end to end efficiency and effectiveness in the Know Your Customer activities
  • Perform and validate controls testing
  • Collaborate, perform or participate in User Acceptance Testing
  • Recommend process improvements, evaluate and provide constructive feedback on enhancements to alignment to business requirements
  • Review, validate and communicate key production metrics
  • Root cause analysis on issues/defects
  • 5-6 years of relevant experience in an established financial institution with a focus on AML/CFT and KYC. Experience in a checker role, compliance monitoring and testing, risk management or internal audit will be a plus
  • Experience in collaborating with multiple stakeholders including Legal, Compliance and Technology
  • Experience in managing UAT and working with SNOW/JIRA tickets
  • Strong knowledge of AML/CFT regulatory compliance requirements, analyzing risks and best practices
  • Sound knowledge of AML regulations across HK or SG (additional jurisdictions preferred)
  • Able to communicate effectively, clearly and concisely at all levels both internally and externally. Strong oral and written communication skills in English
  • Excellent interpersonal and influencing skills along with commercial acumen required for rapport building with customers and internal staff
  • Strong execution skills, to plan, organize and drive through results under conflicting priorities and pressures
  • Must be a self-starter, pro-active, organized, with a keen eye on details and have the ability to work independently at a local, regional and global level
  • Highly motivated, intuitive and possess initiative to identify potential process improvements
  • An analytical mind with attention to detail
  • Fluency in Asian languages (such as Cantonese, Mandarin, Korean and Japanese or Portuguese advantageous)
  • Strong MS Excel and PowerPoint skills
Moody's is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected veteran status, sexual orientation, gender expression, gender identity or any other characteristic protected by law.

Candidates for Moody's Corporation may be asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading and the requirements of the position. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.

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