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* Deal with CDD/KYC reviews and client onboarding processes to ensure adherence to internal procedures, group policy and industry best practice;
* Provide advice to the business and senior management for all regulatory matters in relation to Compliance and Anti-Money Laundering (“AML”);
* Assist to implementing effective Compliance and AML measures and control in accordance with the Company directives and the UK regulations;
* Drafting, updating and monitoring the company’s policies and procedures for relevant business areas;
* Conduct Compliance reviews, monitoring and market surveillance;
* Deal with internal compliance related enquiries about daily business development;
* Review and approve financial promotions or marketing material;
* Handle internal and external auditor enquiries and requirements;
* Communicate with ICE Europe, LME and CME etc. exchanges to fulfill the exchange requirement as clearing member;
* Assist with transaction reporting and any other relevant reporting requirements;
* Perform on-going transaction monitoring;
* Assist with identifying and investigating any suspicious transactions so that escalation and reporting can be made to senior management, and relevant authorities in timely basis;
* Identify any emerging risks from Compliance and ML/TF and propose recommendations / rectifications to senior management for resolution;
* Conduct regular training to keep abreast the staff’s awareness on Compliance and AML issues as well as regulatory changes;
* Gather information and prepare responses to enquiries from the FCA and/or other EEA regulatory bodies or law enforcement agencies;
* Act as Project Lead to coordinate and implement the enhancement and update on Compliance and AML related systems;
* Provide regular Management Information update to both local management and BOCI Headquarter for better oversight of the effectiveness and adequacy of its Compliance and AML program;
* Carry out any other ad-hoc tasks at the request of the Compliance Officer or Senior Management.
Requirements:
* Strong knowledge of the UK & EU regulatory regime, including MIFID 2, EMIR, GDPR and the Senior Management Regime, etc;
* Familiar with the FCA conduct requirements;
* An in depth understanding of Exchange rules, particular ICE Europe, LME and CME;
* Experience within Compliance at a regulated financial institution, or with a regulator;
* Able to deal with transaction and trade reporting regulatory guidance;
* Decent knowledge of Compliance and AML/KYC regulations and understanding of the requirements for risk-based approach to on-boarding;
* Client money rules expertise;
* Strong analytical skills to use data/metrics for risk monitoring as well as strong communication and interpersonal skills are essential;
* Able to work flexible hours.
Other Information:
Please apply in strict confidence with full resume, academic record, current and expected salaries. The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months.
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