Vice President/Associate Director, Legal and Compliance (Anti-Money Laundering) [Asset Management] Vice President/Associate Director, Legal and  …

China CITIC Bank International Limited
in Hong Kong
Permanent, Full time
Last application, 26 Nov 20
China CITIC Bank International Limited
in Hong Kong
Permanent, Full time
Last application, 26 Nov 20
Assist Head of Legal & Compliance in providing legal and compliance advisory and supports to CNCBI Asset Management Limited and CNCBI Financial Consultant Limited (“Company”) in order ensure their adherence to internal compliance control, relevant legal and regulatory requirements.

Key Responsibilities

  • Assist the Head of Legal and Compliance to handle Anti-Money Laundering and Counter-Terrorist Financing ("AML/CTF") matters
  • Assist the Head of Legal and Compliance to handle sanctions compliance matters
  • Act as the Manager-in-Charge (MIC) of AML/CTF for the Company
  • Conduct reviews for enhancement of AML/CTF and sanctions compliance controls of the Company, and perform AML and sanctions risk assessment as and when required
  • Drive development of AML/CTF tools/systems (e.g. transaction monitoring system, screening system) and maintain databases for the Company’s AML/CTF systems
  • Handle enquiries from law enforcement agencies/regulatory authorities in Hong Kong and foreign jurisdictions in which the company operates or performs business activities
  • Communicate and coordinate with relevant departments and the Head Office on AML/CTF and sanctions compliance related issues
  • Develop and review the Company's AML/CTF manuals, policies and guidelines/procedures in accordance with standards specified by the Head Office as well as applicable regulatory requirements
  • Provide prompt and constructive advisory support to the Company where appropriate in order to ensure the Company is in compliance with AML/CFT, Sanctions, FATCA and CRS requirements
  • Enhance the AML/CTF and Sanctions compliance awareness among staff through provision of relevant information, publications and training etc. Develop and conduct internal AML/CTF and Sanctions compliance training sessions
  • Assist in general legal & compliance functions of the Company
  • Provide advice to business units on compliance-related queries
  • Assist in preparing, drafting and reviewing legal and compliance documentations
  • Take up other ad hoc assignments from time to time as directed by the Head of Legal and Compliance or management


  • Degree holder preferably in Law, Finance, Accounting or business related disciplines
  • Minimum 8 years of relevant experience in AML/CTF in financial industry (asset management preferred) with good understanding of regulatory requirements and control applications
  • Professional qualification on AML/CTF, such as AAMLP/CAMLP, ACAMS, etc. is an advantage
  • A confident, efficient and effective team player with initiative, and able to work independently
  • Familiar with MS Word, Excel and PowerPoint
  • Proficiency in spoken and written English and Mandarin

For more details about career opportunities with the Bank, please visit our website  Please apply with full resume stating current and expected salaries via

Personal data collected will be used for recruitment related purposes only. Applicants not invited for interview within 6 weeks may consider their applications unsuccessful. However, applicants may be considered for other suitable positions within the Group for a period of not more than 2 years. Personal data will be destroyed at any time after 3 months.

China CITIC Bank International is committed to being an equal opportunities employer and intends to provide a work environment free of unlawful discrimination or harassment.  All employment decisions will be made in a non-discriminatory manner.

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