Compliance Manager (Transaction Monitoring)
BC Group
Hong Kong, Hong Kong
source : eFinancialCareers

Responsibilities :

  • Conduct AML / CFT review, analysis and risk monitoring on accounts and transaction flows
  • Conduct market surveillance and monitor for alerts in relation to the company’s automated trading system
  • Advise the business stakeholders on their existing and ongoing compliance obligations with respect to regulatory standards and expectations
  • Work closely with the Head of Compliance and General Counsel to develop and enhance the existing governance around AML including new policies and procedures, process enhancement etc
  • Work with the business to develop compliance procedures and controls, and provide commercially-orientated compliance advice
  • Implement and review compliance policies, procedures and practices
  • Lead and contribute to various compliance related projects, including liaising with the technical development team to further enhance the company’s systems and AML related systems
  • Maintain regulatory registers, and make necessary filings with the regulator as required
  • Liaise with regulators and law enforcement in relation to any requests received
  • Requirement :

  • Minimum 5 years’ experience within the compliance function of a regulated financial services business, with SFC compliance experience an advantage
  • A strong knowledge of the relevant financial crime legislation; CAMS certification an advantage
  • Strong communication and interpersonal skills, ability to prioritise without close supervision
  • Self-motivated, meticulous, analytical and strong organisation skills
  • Good understanding of the business dynamics of a financial institution
  • Proficiency in spoken and written English, Cantonese and Mandarin
  • OSL is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, gender, sexual orientation, gender identity or expression, religion, national origin, marital status, age, disability, veteran status, genetic information, or any other protected status.

  • Unsolicited CV submissions by agencies will not be recognised*
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