Senior Compliance Officer/MLRO Senior Compliance Officer/MLRO …

Tangspac
in Hong Kong
Permanent, Full time
Last application, 23 Oct 20
Negotiable
Tangspac
in Hong Kong
Permanent, Full time
Last application, 23 Oct 20
Negotiable
Posted by:
HR Hong Kong . • Recruiter
Posted by:
HR Hong Kong .
Recruiter
My client is a global wealth management consultancy and they are looking for both Senior Compliance Officer and Compliance Officer with MLRO experience to join the team. You will be overall responsible for compliance and risk management for the Group based in Hong Kong.

RESPONSIBILITIES:

Compliance

Serve as Senior Compliance Officer and Money Laundering Reporting Officer (MLRO) for a licensed TCSP (Trust & Corporate Services Provider) company in company secretarial and trust matters; and as internal compliance officer for fund-related matters. 

Assist in devising policies and procedures for KYC, Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) performing Customer Due Diligence (CDD) for new potential clients and periodic document reviews, performing ongoing compliance monitoring and reviewing and filing Suspicious Transaction Reports (STR).

Areas of work include:

  • Reviewing, updating, implementing policies, procedures and manuals and assessing and evaluating compliance with regulatory obligations
  • Provide updates to staff on applicable AML/CFT/CDD requirements
  • Ensure the company’s compliance manuals are implemented on a continuous basis
  • Check AML/CFT risk profile of new business and perform periodic reviews of existing business
  • Review adequacy of record-keeping
  • Maintain clear communication channels with business units
  • Handle inspection enquiries from relevant authorities relating to AML/CFT matters
  • Submit STRs as appropriate

Train staff on regulatory compliance matters on a regular basis and ensure that all management and staff understand their responsibilities and obligations to prevent money laundering and terrorist financing activities
 

  • Qualification :
     

-  Minimum 5 years PQE in a regulatory or compliance role

- Legally trained or qualified preferred.

- For candidates with less experience will be considered as Compliance Officer

If you're interested in applying this role, please kindly send your latest resume with current and expected salary stated to conny.li@tangspac.com.  For further details, please feel free to reach Ms. Conny Li at 2575 5587.

 

 

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