Compliance Officer (AML team)

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Reporting to the head of AML Compliance in Hong Kong, the right incumbent will be responsible for performing the financial crime related compliance functions to the CICC group of companies (the “Firm”).

Key responsibilities include but are not limited to

• Perform all AML/Sanction Risks related monitoring process and transaction surveillance works of the Firm’s relevant business units in Hong Kong
• Perform routine enhanced client onboarding and know-your-client related compliance checks, monitoring, and review process
• Assist in the routine approval and review process on third party payment/transfer/receipt transactions
• Perform FATCA and CRS related compliance checks and reporting
• Provide regulatory and compliance advice to all relevant business and control units on financial crime compliance related matters
• Review new business initiatives of all relevant business units in Hong Kong from AML, KYC, FATCA and Sanction Compliance perspectives, based on industry best practice and CICC group standard
• Assist in maintaining and updating all relevant financial crime related compliance manuals, policies and procedures to ensure that they properly reflect applicable legal and regulatory requirements, industry best practices, and the Firm’s standards, and establish new policies and procedures in light of new regulatory and business developments
• Provide financial crime related compliance trainings to all relevant business and control units
• Assist in handling regulatory inquiries and reporting, and internal investigations in relation to financial crime related issues
• Respond to all financial crime related enquiries raised internally from all relevant business and control units
• Assist in handling other compliance work and special projects as required for the operation of the Firm’s businesses conducted from Hong Kong and Overseas

Knowledge and Experience

• Some financial services compliance and regulatory legal background
• Familiar with the financial crime related rules in Hong Kong
• Prior working experience in in-house AML/KYC compliance or regulatory authority preferred

Skills and Abilities

• A professional with high integrity
• Excellent verbal and written communication skills in both English and Chinese
• Strong analytical skills, thoughtful
• Technology-savvy
• Detailed-oriented
• Fast learner
• Proactive and able to act independently
• Good teamwork skills

Qualifications

• University degree in Business, Finance, Economics or a related discipline
• Minimum three years of relevant experience in financial crime compliance

Disclaimer

CICC is committed to fostering an environment of equity and diversity. We recognize the importance of fair treatment in all aspects of our business, from recruitment and hiring to professional development and advancement.

CICC aims to build an inclusive workplace that values the diverse backgrounds, ideas, and cultures of our employees. We strive to create an environment where every employee feels heard, supported, and empowered to contribute to the company's growth and success. By leveraging our collective strengths, we aim to drive innovation and achieve excellence in the industry.

It is CICC’s responsibility to provide equal employment opportunities to all prospective employees, regardless of race, ethnicity, gender, age, disability, or any other characteristics protected by law. The preceding job description has been designed to indicate the general nature and level of the work to be performed by employees within this classification.

It is not intended to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job.