Senior Officer, Customer Due Diligence

Mandatory Reference Checking Scheme (“MRC”) for Hong Kong

The Mandatory Reference Checking Scheme is a framework to facilitate Authorized Institutions (“AIs”) to bilaterally obtain reference information during their recruitment process for certain positions, such that misconduct information in an individual’s previous employments can be provided to AIs to inform their employment decisions.

For information related to MRC Scheme, “Frequently Asked Questions for In Scope Individuals” is published by HKAB/Industry Guidelines (https://www.hkab.org.hk/en/home) or further information will be available upon request, if it is applicable to the position(s) applied.

Country of Location:

Job Responsibilities:

• Follow up with the collection of detailed customer information and supporting documentation required for the completion of Customer Due Diligence (CDD) reviews and trigger event reviews;
• Review and check for completeness of CDD information and supporting documentation before submitting the case for checking and approval;
• Conduct Name Screening under the Bank’s AML / CTF program;
• Engage existing customers in the collection of customer information and supporting documents required for completion of periodic reviews and trigger event reviews;
• Handle potential breach cases of Sanctions under the Bank’s AML / CTF program;
• Act as the focal point for CDD information clarification among BU, customers, checkers and approvers;
• Comply with regulatory and the Bank’s requirements for CDD review;
• Participate in CDD related process reviews for personal/corporate customers with an aim to comply with regulatory or policy changes;
• Adhere to anti-money laundering and counter terrorist financing controls in accordance with regulatory standards and CNCBI policies.

Requirements:

• University degree in a related discipline or other relevant qualifications is preferred;
• Minimum 2 years of CDD/ KYC related experience in banking is preferred;
• Basic knowledge in personal/commercial banking, and Anti Money Laundering (AML) / Know Your Customer (KYC) regulatory requirements on personal/corporate customers;
• High awareness of both quality and risk, especially compliance-related risk and security issues;
• Experience in handling CDD review for personal/corporate customers is preferred;
• Good command of written and spoken English and Chinese (including Putonghua).