Responsibilities:

• Assisting the team to prepare/review the company's risk management policies, anti-money laundering policies, compliance policies, procedures and work guidelines, and prepare staff training materials
• Assisting the team to deal with daily operations, compliance-related, operational risk and anti-money laundering monitoring reports, etc.
• Coordinate with the introduction of new policies/projects of the Group, and work closely with relevant front-line unit
• Work closely with relevant front-line personnel, compliance personnel, operational risk personnel and other relevant personnel in the process
• Conduct execution of business inspection work, and review the client on-boarding due diligence documents, employees’ transaction records and licenses, etc. Monitor abnormal situations from daily operations and respond in time, early warning monitoring for risk prevention
• Review and check portfolio trading records to ensure internal and regulatory requirements
• Handle and response to inspections, reports and inquiries from regulators of compliance work
• Assist in formulating Anti-Money Laundering Compliance checks and implementing related inspections, identifying weak links in control, and proposing and implementing improvement suggestions
• Perform ad hoc tasks and projects as assigned

Requirements:

• Degree or above with major in Finance, Risk Management, Law or related disciplines
• At least 3 years relevant experience, preferably in asset management or banking industry
• Good understanding and knowledge of economy, law, finance, financial management, and be familiar with economic and financial laws and regulations and policies
• Good communication skills, good comprehensive analysis, coordination and negotiation ability
• Good command of spoken and written English, Mandarin and Cantonese