Key Responsibilities and Accountabilities:
General
- Assist Head of Compliance in providing advice to the business regarding rules and standards, proper codes of conduct and doing the right thing.
- Raise Compliance awareness and behavior amongst all staff and in embedding the three lines of defence so by engaging regularly with Management, Heads of Departments and other staff to foster standards of integrity, ethical conduct and doing the right thing and working closely with other stakeholders to promote the Rabobank Values and Behaviours through various values activities.
- Update Compliance policies, procedures, codes and guidelines on a regular basis to ensure the appropriateness and fit-for-purpose of these standards and to propose amendments as required. Complete gap analysis and assessments with respect to internal policies and standards.
- Conduct relevant training for staff and regular induction training for new staff including rolling out of any Group Compliance e-learning initiatives.
- Perform day-to-day compliance administrative supports including PAD, licensing.
- Investigate and clear AML and Sanction related alerts escalated from first line of defence.
- Review CDD files escalated by Client Onboarding Team (COB).
- Provide advice to COB and lines of business on internal policy and local regulatory requirements on Financial Crime Compliance related topics.
- Execute compliance monitoring, reviews and testing requirements for Financial Crime Compliance (FCC) and non FCC themes.
- Assist senior compliance officers in their effort to complete Compliance Risk Assessments including Key Risk Indicator (KRI) assessments that are in line with Global Compliance Themes.
- Assist to compile MI for management reporting in Hong Kong, the region and global.
- Assist senior compliance officers in Financial Crime Compliance or non FCC tasks from time to time such a system roll outs etc.
- Assist the senior compliance officers to prepare/review/coordinate regulatory projects, submissions, enquiries, assessments and deliverables stipulated by the Hong Kong regulators.
Job Skills and Knowledge:
- 3 years of relevant experience in compliance or FCC.
- Detail-oriented, analytical, articulative and ability to identify potential issues and solutions.
- Excellent communication, interpersonal, influencing and negotiating skills.
- Self-starter - ability to work independently and yet be a strong team player.
- Flexibility to work under stress and pressure.
- Ability to manage a variety of tasks, ability to prioritize and meet deadlines.
- Excellent PC Skills including Word, Excel, Powerpoint.
Qualifications:
- University graduate in Legal, Finance or business related qualification.
Diversity & Inclusion
At Rabobank Asia, we:
Believe
a diverse and inclusive workplace is the foundation of our performance.Embed
diversity in everything we do on a daily basis, whether it be our hiring, culture, development opportunities or our policies.Value
differences in our people which is represented in terms of gender identity, age, sexual orientation, religion, ethnicity, disability, background, education, expertise or character.Embrace
people from all walks of life to build a strong, creative, innovative and dynamic workforce that is reflective of the diversity of our community.Treat
everyone equally so that everyone can be themselves, and each individual feels respected and valued on the basis of who they are.