Assistant Manager, Retail Compliance & Control

Responsible for ensuring CDD and KYC for SME account opening are adequately and appropriately done in accordance with relevant guidelines.

Main Responsibilities:

• Review onboarding Customer Due Diligence (CDD) and Know Your Customer (KYC) work submitted by frontline staff to check that proper CDD has been properly done, and sufficient KYC information/ documents are obtained according to relevant guidelines to understand the legitimate reasons for account application and legitimacy of business.
• Appropriately request for further information and supporting documents to support legitimate reasons for account application and legitimacy of business.
• Propose appropriate changes to KYC process as appropriate according to review findings, comments frontline and issues identified by different control functions.
• Assist to compile management information as appropriate to facilitate review of the quality of KYC.
• Assist to review the relevant procedure manuals regarding on account opening of SME account.
• Analyze the assurance checking result and recommend appropriate operational control measures and enhancements on SME account application process
• Provide appropriate training to frontline staff on proper conduct of KYC.

To meet the challenge, you should have the following qualifications and attributes:

• Degree holder with 5 years’ experience in Retail Banking Operations; or secondary education with 7 years’ experience in retail banking operations
• Good knowledge of AML requirements
• Self-motivation with good interpersonal, communications and presentation skills
• PC literate with good knowledge of Microsoft Office
• Good command of both written and spoken English and Chinese