Compliance, Financial Crime KYC EDD, Associate / Vice President, Hong Kong

Global Compliance division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

• Conducting due diligence on prospective and existing Private Wealth Management ("PWM") clients to identify issues presenting potential legal, regulatory, sanctions or reputational risk, primarily utilizing publicly available data sources, vendor reports and reviewing client documentation.
• Escalating potential KYC issues to the KYC team manager and/or senior business management.
• Documenting potential issues, mitigating factors and rationale for approval in the relevant systems.
• Managing document retention in accordance with applicable AML regulation and firm policies.
• Providing AML advices, guidance and training to internal stakeholders on KYC/EDD-related matters
• Implementing applicable AML policies and procedures.
• Collaborating closely with the global Anti-Money Laundering/Suspicious Activities Group, the Government Sanctions Group, the Anti-Bribery Group, and the Global Surveillance Group.

• Experience in Financial Crime Compliance, securities law, law enforcement, investigative or forensic accounting or similar background.
• Experience in Private Wealth Management industry with good understanding of Private Wealth Management services and investment products, and the associated Financial Crime risks
• Strong analytical, investigative and risk assessment skills
• Proven analytical skills, problem solving ability, and a control mentality paired with meticulous attention to detail
• Ability to prioritize demanding workflows, detailed-oriented and well organized
• Ability to take ownership, work independently and yet still be team-oriented
• Ability to adapt to new changes and new challenges
• Excellent written and verbal communication skills
• Strong interpersonal skills
• Proficiency in PowerPoint and Excel, and experience in external database searches, such as World Check, Factiva, and Lexis/Nexis
• Fluency in English, Chinese (Mandarin)