Compliance Officer

  • ANX International
  • Jan 28, 2019
Full time Compliance

Job Description

Roles & Responsibilities

  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Check and approve AML / KYC due diligence assessments on new client onboarding and conduct transaction monitoring for AML
  • Assist with client profile update based on information collected by internal source and public platform
  • Act as an internal control function to conduct risk assessment
  • Ensure the business and operations are in compliance with regulatory requirements
  • Develop training materials and coordinate compliance / AML training
  • Carry out compliance work on the company’s operations & systems and prepare reports for management decisions.
  • Respond to enquiries from regulatory bodies
  • Participate in any system enhancement UAT, and Ad-hoc projects as assigned

Job Requirements

  • Bachelor’s degree in Law/Accounting/Finance or other business discipline
  • 4 to 5 years of experiences in client onboarding/CDD/KYC roles; candidates with less experience will be considered for Assistant Compliance Manager role
  • Client onboarding & AML experiences with Financial Institutions would be highly preferable
  • Ability to work independently and exercise independent judgment, discretion, and decision-making
  • Excellent communication and interpersonal skills, including strong command in English & Cantonese
  • Fluency in Mandarin would be advantageous