Job summary
部门
职能
About Our Client
A multi family office.
Job Description
BAU Responsibilities (Hong Kong):
- Account opening: support timely manner in review of newly submitted client KYC approval for account opening. Adhere best effort basis to agreed service standard in terms of timing and feedback/response;
- AML/CFT: ensure proper implementation and smooth operation of following AML/CFT controls in Hong Kong;
- Non-AML/CFT: ensure proper implementation and smooth operation of following internal controls in Hong Kong;
- Provide timely and quality advisory services on regulatory compliance matters (e.g., cross-border activities, licensing, regulatory compliance and reporting);
- Ensure timely reporting to SFC or other regulatory bodies in Hong Kong (for regulatory reporting e.g., quarterly/annual financial reporting, surveys etc, particulars update by shareholders/directors/RNFs.);
- Ensure proper implementation of requirements relating to BCP, Outsourcing, Gifts & Entertainment, Data Privacy;
- Review and update the risk assessment process to identify emerging risks, such as those related to new products, services, or business activities;
- Provide necessary Compliance training (including Induction and refresher trainings);
- Timely follow-up and completion of all other tasks as assigned by the Group Head of Risk & Compliance.
Overseas Responsibilities：
- Support Group Head of Risk & Compliance by participating and provide advice in group, Singapore and Dubai’s Compliance governance meetings where applicable.
Requirements and Qualifications