Compliance Officer, Compliance

Position Description

The AML Compliance Officer will be part of the Financial Crime Compliance team in CLSA, reporting into Regional Head of Financial Crime Compliance. The AML Compliance Officer should work with the team to ensure efficient identification and monitoring of suspicious activities and transaction within CLSA; ensure timely report of suspicious transactions from screenings and reviews to the AML Compliance Officer and maintain a robust financial crime compliance framework for CLSA.

Key Areas of Responsibilities

• Completely and accurately document steps taken through the screening process to ensure a compliant outcome.
• Investigate and assess alerts for potential money laundering risks through screening, reported internally and also by clients.
• Investigate, review and resolve AML related and economic sanction related alerts.
• Function as a key contributor with demonstrated knowledge of AML/KYC issues, as well as broader functional knowledge
• Work seamlessly across the various entities forging consistency within CLSA, including CLSA entities.
• Provide direction and guidance to employees on appropriate remediation action for high risk accounts.
• Maintain a current understanding of money laundering and terrorist financing issues, including policies, procedures, regulations, industry best practice, criminal typologies and developing trends.
• Assist in identifying systemic procedural weaknesses and additional training requirements for CLSA.
• Communicate findings to management
• Assist with ad hoc projects / to handle regulatory reporting matters

Requirements

• Degree holder required, preferably in Law, Accounting or related discipline.
• Working experience in financial institutions, AML/KYC experience is preferred.
• Knowledge of securities laws, finance, operations, products and services is required
• Adept to multi-tasking and meeting deadlines in high-pressure environment.
• Good knowledge in securities laws, operations, products and services and analytical skills with the ability to analyze large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately.
• Proficient in MS Office (Outlook/Word/Excel/PowerPoint)
• Articulate and able to demonstrate interest in working within Compliance.
• Self-motivated, well-organized and presented, independent and pleasant personality with good communication skills at all level.
• Good command of written and spoken English and Chinese (including Putonghua)

CLSA may collect personal data from you for purposes relating to your engagement with the Company, including human resource management and other business and internal / external compliance purposes. Any personal information and /or data collected and held by the Company may be used by the Company or transferred (whether within/ outside Hong Kong) to any other parties within the Company, subsidiaries and affiliates of the Company, internal or external service providers, or any other relevant parties including governmental or regulatory authorities, for the above purposes