Compliance Specialist

Capco (The Capital Markets Company Ltd.)
Hong Kong
As per Market standards
26 Sep 2017
02 Oct 2017
Contract Type

Company Overview

As the financial services industry is continually hit with waves of new regulations, our banking clients are continually looking for ways to manage their regulatory risk and remain compliant with constantly changing regulations. As a Compliance Banking Analyst you will have the opportunity to work closely with our clients, analyzing customer records and databases to ensure adherence to internal procedures and policies. You will gain experience working on some of the most critical regulatory functions in the banking industry, including: - Customer Due Diligence - Know Your Customer - Anti Money Laundering


• Perform first and continuous outreach to corporate customers, through calling and writing, using templates and tools, for existing customers' CDD / KYC/ AML reviews
• Provide KYC and AML guidance to customers to ensure proper policy adherence
• Screening of documentation to ensure customers adhere to compliance requirements
• Review and carry out due diligence on existing clients in order to protect against financial crime
• Perform KYC activities for new and existing businesses and multiple remediation efforts concurrently within designated timeframes and quality standards
• Perform periodic reviews including high risk clients and manage work performed by Operations offshore
• Responsible for client communications and query management on KYC/AML reviews on customer data and documentation
• Pro-active follow up with clients who are non-responsive
• Manage expectations with Relationship Managers, Compliance, Operations
• Mange and escalate issues in timely manner, through asking the right questions
• Promote a client centric environment while maintaining discipline and tight controls
• Performing CDD and Enhanced Due Diligence (EDD) reviews

• Customer oriented while not compromising on risk and control focus
• Strong verbal and written communication skills, and interpersonal skills
• Attention to details
• Ability to manage multi tasks and meet ambitious deadlines
• Strong analytical/problem solving skills and ability to work under pressure
• Willing to take ownership and work independently with minimal supervision
• Competency in Excel, Word, Powerpoint
• Degree holder
• 0 - 2 years' experience
• Ability to speak, read and write English and Cantonese / Mandarin