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Compliance Associate, HK Branch
BBVAHong Kong14 天前
职位描述Degree holder in Finance, Accounting or Laws At least 2 years relevant experience inpliance field or audit firms Knowledge of regulatory andpliance requirements in relation to banking business Knowledge of banking services and products PC literacy (Microsoft Office including word, excel and powerpoint) Proficient in written and spoken English Proficient in written and spoken Chinese Good interpersonal andmunication skills Customer-oriented Self-motivated and be a team player Ability to work under pressure
Responsibilities
- Review KYC documentation on new account opening and perform transactions screening and monitoring inpliance with Group Policy and relevant anti-money laundering requirements.
- Trades monitoring including staff personal dealings and assist in management of transactional conflicts of interest.
- Prepare and update policies and procedures in line with Group Policy and with regard to local laws, rules, regulations and guidelines.
- Assist in providing advice and support to the business units with regard to potential regulatory impacts of relevant laws, rules, regulations and guidelines.
- Assist in providing relevant trainings to staff on changes and development of laws, rules, regulations and guidelines.
- Assist in ensuring all relevant staff are properly registered with regulators as appropriate andply with relevant licensing requirements.
- Assist in the preparation of regulatory reporting, filings and self-assessments as required.
- Assist in performingpliance review on business units in accordance with the standards and guidelines contained in thepliance monitoring plan.
- Assist in any other ad hoc projects.
Qualification & Experience
Knowledge & Skills
Language
Other Skills ( Interpersonal,munication etc)
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Associate Compliance • Hong Kong