Manager, Financial Crime, Compliance

Position Description

The Compliance Manager, Financial Crime will be part of the CSI’s Regional Financial Crime Compliance team, Legal and Compliance, reporting into the Regional Head of Financial Crime Compliance. He/she will work with the team to maintain a robust financial crime compliance framework, ensure efficient monitoring of clients and transactions, for identification and timely reporting of irregularities/suspicions.

Key Areas of Responsibilities

• Assist Regional Head of Financial Crime Compliance on advising management, businesses, operations and support teams on AML KYC, FCC related requirements, so as to facilitate client on-boarding, business initiatives and negotiations
• New business initiatives – Review and provide input to new business and infrastructure initiatives from a regulatory and best practice perspective.
• Monitor regulatory requirement changes and ensure CSI AML/CFT policies and procedures are up-to-date and reflect latest regulatory requirements
• Facilitate understanding of business lines and support functions on AML/FCC policies and procedures, ensuring CSI’s overall compliance to applicable AML, CFT and Sanctions laws and regulations
• Lead / participate in compliance projects to refine AML/FCC policies and procedures, and their integration into the firm-wide controls
• Responsible for client monitoring, concluding review and investigation results, as well as onward reporting to authorities where necessary
• Active interaction within the department, middle and back office, as well as with Beijing headquarters, work seamlessly across the various entities forging consistency within CSI, boosting AML/FCC awareness and culture
• Administer FCC training to businesses and functions, up keeping FCC knowledge of all staff.

Requirements

• Degree holder required, preferably in Law, Accounting or related discipline.
• At least 8+ years of similar experience in a compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof;
• Working experience in financial institutions, AML compliance and KYC is required.
• Candidates with less experience may be considered for the role of Assistant Manager, Financial Crime.
• Adapt to multi-tasking and meeting deadlines in high-pressure environment.
• Good knowledge in securities laws, operations, products and services and analytical skills with the ability to analyse large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately.
• Proficient in MS Office (Outlook/Word/Excel/PowerPoint), knowledge on SAS will be an advantage.
• Articulate and able to demonstrate interest in working within Compliance.
• Self-motivated, well-organized and presented, independent and pleasant personality with good communication skills at all level.
• Good command of written and spoken English and Chinese (including Mandarin).