Posted 7 hours ago
Job Overview
Become the Associate Director of the operations department at a renowned SOE investment bank and securities company based in Hong Kong, with a focus on CDD and KYC for client integration. In this role, you’ll direct key due diligence efforts and anti-money laundering (AML) adherence, reduce significant risks, and facilitate safe growth in worldwide securities and investment activities.
Primary Duties
- Guide and refine the complete process for establishing and accessing accounts for international clients, incorporating strategic oversight of arrangements in elevated-risk areas to promote efficiency, risk reduction, and conformity with international norms.
- Oversee in-depth client profile reviews (COB), advanced due diligence (EDD), KYC evaluations, and AML checks for both international and local clients, maintaining rigorous alignment with FATF guidelines and transnational regulatory structures.
- Supervise the gathering, submission, and supervision of fiscal data for international clients, applying and tracking systems like FATCA, MiFID II, and CRS to avert compliance vulnerabilities and bolster organization-wide regulatory approaches.
- Serve as the primary liaison for handling documents and inquiries related to international clients and interdisciplinary internal groups (front, middle, and back office), ensuring accurate, regulation-compliant, and prompt interactions to build strong client partnerships.
- Collaborate with top-level colleagues in Risk Management, Legal Affairs, and Business Growth to create, deploy, and improve AML surveillance and compliance mechanisms for international clients, guaranteeing complete compliance with company protocols and authorities such as SFC.
- Develop, evaluate, and thoughtfully revise essential operational guidelines, protocols, and standard operating procedures for client due diligence and AML operations, weaving in regulatory updates, audit observations, and industry-leading methods.
- Carry out other significant responsibilities as designated by top leadership, including directing compliance reviews, guiding staff development, or participating in key organizational projects.
Required Qualifications
- A bachelor’s degree or advanced qualification in Finance, Economics, Law, Accounting, or an equivalent area; specialized credentials such as CAMS, CFA, or similar are highly recommended.
- A minimum of 6 years in high-level financial client oversight , featuring extensive proficiency in CDD, KYC, and AML procedures in the securities and investment sector.
- Broad understanding of global AML structures (e.g., FATF) and expert command of Hong Kong-based, regional; established capability to detect, evaluate, and address intricate transnational compliance challenges.
- Proven competence in autonomously managing compliance materials, client interactions, and regulatory filings.
- An exceptionally meticulous leader possessing a forward-thinking approach to risk and compliance, advanced abilities in communication and collaboration, and a dynamic, authoritative demeanor in a challenging, critical environment.
