COMPLIANCE Supervisor
Responsibilities:
- Conduct compliance review for new client onboarding file as the 2nd line of defense
- Provide advice to business units on compliance and regulatory-related issue
- Assist Compliance Manager in formulating and reviewing internal Compliance policies and procedures
- Review existing Compliance processes across different departments
- Proactively identify potential gaps in current procedure/processes against the regulatory requirement
- Monitor client due diligence periodic review to comply with internal KYC and AML policies and regulatory requirements
- Assist in regulatory inspection / enquires and internal audits
- Assist in organizing internal compliance-related training programs for staff
- Keep management abreast of latest regulatory and Group's compliance requirements timely and appropriately
- Maintain client data and documentation update
- Participate in ad-hoc task/project as and when assigned
Requirements:
- Recognized university degree in Accounting, Law, or related disciplines
- Minimum 2-3 years relevant experience gained from financial institutions, corporate or fiduciary services firms. Experience in Trust compliance is an advantage.
- Understand AMLO, FATCA, CRS, and other relevant regulatory requirements
- Holder of relevant compliance professional qualification would be an advantage
- Good command of both written and spoken English and Chinese
- Team-oriented and able to work well with other departments,
- Self-starter, a strong sense of responsibility, and attentive to details
- Analytical, logical thinking, and problem-solving skill
- Knowledge of Viewpoint would be an advantage
Package:
- Remuneration package commensurate with relevant experience and qualification
- Benefits include medical and MPF provision
- 5-day week
Qualification: Degree
Yr(s) Exp: 2-3 year(s)
Job Location: Central & Western District
Salary: Negotiable
Job Type: Full Time, Permanent
