Compliance Officer - Hong Kong
Intesa Sanpaolo
Hong Kong, HK

Scope and Purpose

  • Supporting the Local Compliance Officer in managing the relation with the Supervisory Authorities, as well as with internal and external auditors;
  • Supporting the Local Compliance Officer in managing non-compliance events, in providing assistance and cooperation to the concerned structures, in ensuring the identification and implementation of interventions to be taken to bridge any organizational and / or procedural gaps;
  • Conducting enhanced due diligence on high risk client on-boarding requests, including identification and assessment of any financial crime risks;
  • Periodic review of existing customers based on local ordinance and group policy requirements;
  • Conducting quality assurance and samples testing based on the second level controls framework;
  • Reviewing & performing the transaction monitoring and prepare the report to MLRO for filing STR when necessary;
  • Managing reporting information and risk assessment flows towards Head Office Compliance, and providing compliance advisory for day to day business activities;
  • Analysis of relevant compliance rules and support in the prior compliance assessment of all innovative projects / new products;
  • Supporting the Local Compliance Officer in monitoring remedial actions and timely update and report Head Office Compliance;
  • Required Experience

  • Minimum five years of Compliance advisory experience either in banks / financial institutions / local regulators;
  • Strong knowledge in managing local regulatory requirements, and advisory experience Financial Crime compliance matters;
  • Extensive experience in conducting risk assessments.
  • Competencies Required

  • University degree in law, finance and / or economics;
  • Deep understanding of the Hong Kong regulatory environment and Knowledge of international Compliance regulations and practices;
  • Ability to research laws and regulations and provide advice on the applicability within a given environment;
  • Knowledge of financial institutions, correspondent banking and trade finance products and services;
  • Positive attitude towards colleagues and the organisation to ensure seamless communication;
  • Good knowledge of local and international Economic Sanctions laws, Anti-Money Laundering Ordinance and Anti-Bribery and corruption regulations;
  • Chinese fluent (both written and spoken); English fluent (both written and spoken), Italian is an advantage;
  • Excellent detailed-oriented skill set; Strong analytical and problem-solving capabilities; Excellent detailed-oriented skill set;
  • Ability to synthetize large volume of information and identify key issues, and to produce high quality work within challenging deadlines.
  • Everyone is an asset for our Group and that person could be you! Check out our job opportunities, apply and join our team!


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