Compliance Associate
- Hong Kong
- Permanent
- Full-time
- Conduct end-to-end risk reviews, due diligence screenings, and risk rating assessments for clients, vendors, and counterparties across onboarding and ongoing monitoring cycles.
- Execute remediation initiatives for identified risks, including documentation gaps, regulatory breaches, or high-risk exposures.
- Transaction Monitoring & Analysis
- Perform daily surveillance of client transactions using AML/CFT monitoring systems to detect suspicious activities, structuring, or unusual patterns.
- Investigate and escalate alerts, draft Suspicious Activity Reports (SARs), and support regulatory filings.
- Due Diligence Execution
- Conduct standard due diligence (CDD) by verifying identities, assessing business nature, and evaluating ownership structures.
- Lead Enhanced Due Diligence (EDD) for high-risk entities (e.g., PEPs, complex corporate structures, sanctioned jurisdictions), including source of wealth/funds analysis.
- Vendor & Third-Party Risk Management
- Screen and assess suppliers, partners, and intermediaries to ensure alignment with anti-bribery, sanctions, and AML policies.
- Maintain records of vendor risk profiles and control deficiencies.
- Ad-Hoc Compliance Activities
- Support internal audits, regulatory exams, and compliance training initiatives.
- Assist in policy updates, risk assessments, and implementation of new regulatory requirements.
- Perform name screening against global sanctions lists, PEP databases, and adverse media.
- Bachelor's Degree in Legal, Finance, Accounting, Business or related disciplined
- Welcome fresh university graduate
- Have a strong sense of responsibility, detail oriented and able to work independently
- Embraces the value of team work
- Good command of written and spoken English and Chinese
- Immediate availability is highly preferred