Manager, Financial Crime Surveillance Operations Investigations, HK

RESPONSIBILITIES

• Responsible in analysing alerts generated by transaction monitoring system as well as other non-automated cases with financial crime or money laundering concern 
• Ensure suspicious transactions are thoroughly investigated and Suspicious Activity Reports (SARs) are prepared with accurate information in a timely manner
• Ensure the suitability and quality of case data maintained on enterprise case management systems
• Propose control improvements, enhancements and simplifications where appropriate
• Participate in ad-hoc activities such as monitoring of SFC unlicensed entities, system enhancement testing etc.
• Provide advice on AML matters when required and maintain sound working relationship with stakeholders and peers
• Keep up to date of appropriate policies/processes/DOIs to address financial crime risks, aligning with relevant regulatory requirements
• Work with relevant stakeholders on compliance with Group standards relating to AML/Sanctions/ABC

• Ensure the suitability and quality of case data maintained on enterprise case management systems
• Understand technical aspects of systems relevant to CDD, Client Risk Assessments, Name and Transaction Screening, AML Monitoring and Case Management
• Apply Group and FCSO policies and processes (AML surveillance, client screening, risk assessment) to manage risks
• Handling name screening alerts and ensure the suitability and quality of case data maintained on enterprise case management systems.
• Make recommendations (and/or implement) to relevant stakeholders on possible risk management responses to identified risks and/or findings of concerns from investigations
• [Works with HKMA (AML/CFT examination), Joint Financial Intelligence Unit (SAR filing) and Local Law Enforcement Agencies (Crime Investigation) 

Other Responsibilities

• Embed Here for good and Group’s brand and values in HK FCSO; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures; 
• Qualification
• A recognised university degree or professional qualification in Law / Finance / Accounting / Business or related disciplines
• Minimum 1 year (for Analyst role), 3 years and above (for Associate/Manager role) of AML / transaction monitoring experience
• Familiar with local regulatory requirements
• A sound understanding of suitability considerations, and demonstrate them when reviewing alerts or investigating incidents
• Good analytical, reporting writing and methodical skills
• Excellent team player with strong written and oral communications
• Exercise judgment when to escalate or how to investigate a case, as well as the severity of any exception
• Data Analysis Experience- MI analysis & manipulation to identify FCSO risk factors, develop automatic processes in Money Laundering Access Database using VBA and SQL codes.