AML/FCC Director - Securities Brokerage AML/FCC Director - Securities Brokerage …

Gravitas Recruitment Group
in Hong Kong
Permanent, Full time
Last application, 11 May 21
Up to HKD0.00 per annum
Gravitas Recruitment Group
in Hong Kong
Permanent, Full time
Last application, 11 May 21
Up to HKD0.00 per annum
Our client is a top tier securities firm in the market with strong regional presence. To cope with their continuous expansion, they are currently seeking for an all rounded AML/FCC professional to join their sizeable team focusing on their retail brokerage & wealth management business.

Responsibilities:

  • Reporting directly into the Regional Head; supporting senior management and regional head on AML/FCC related tasks and enquiries
  • Working closely with different lines of businesses providing AML advisory support
  • Ensure the firm and front line business are complied with internal and external AML regulatory requirements
  • Lead and participate in AML compliance projects; maintain & enhance existing platforms and services
  • Facilitate client onboarding process, business initiatives and enhancing firm wide AML controls
  • Identify and investigate into unusual/suspicious transactions
  • Supporting junior staffs in the team

Requirements:

  • Minimum 8 years of AML/FCC/Compliance experience in the Financial Services industry
  • Experience in retail brokerage compliance is a MUST
  • Sound knowledge of securities laws, rules and regulations
  • All rounded exposure in AML/FCC compliance
  • Background in Chinese Securities Brokerage will be an advantage
  • Fluent in English Cantonese and Mandarin

Our client offers excellent remuneration package to the right candidate. Interested parties please kindly reach out to Eunice Lee at 3907 0744 for a confidential discussion

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