Feb 14, 2018

Consulting Firm: AVP/Associate, Anti-Money Laundering(AML) Compliance Specialist, Disputes & Investigations

  • Financial Services
  • Hong Kong
Full time Compliance AML Consultant

Job Description



  • Assist with the evaluation of financial regulatory information, including, but not limited to, evaluating BSA (or other relevant regulatory mandate) compliance requirements.

  • Review regulatory filings by financial institutions, including currency transaction reports CTRs) and suspicious activity reports (SARs), or alike.

  • Review historical transactional data for both retail and/or commercial bank accounts.

  • Conduct reviews and assessments of systemic AML/CTF programming with respect to regulatory and compliance related matters within financial and non-financial institutions.

  • Conduct regulatory, intelligence, public source and trade registry searches in support of client directed projects and service needs.

  • Use analytical and writing expertise to draft (or review) complex legal memoranda and other documents, including administrative summons and other court documents, case assessments, notification letters, charging letters, and consent orders that support enforcement actions and administrative penalties relative to a project.

  • Gather supporting information from financial regulators, financial institutions, non-financial institutions, country financial investigations units, and other relevant agencies to evaluate and determine a client's compliance.

  • Research and write reports detailing findings and recommendations.

  • Research and prepare reports related to changing, or trending, regulatory practices and challenges.

  • Market the services of the AML team to potential clients and referral agents.



  • BA or BS Degree.
  • Minimum 2 years of Regulatory Compliance and Investigations experience.
  • Experience with implementing or analysing financial regulatory compliance programmes.
  • Experience with working on complex regulatory matters, including a comprehensive understanding of KYC and DD and EDD practices.
  • Experience with investigating and documenting instances of noncompliance by financial institutions.
  • Knowledge of BSA and AML regulations and equivalent compliance programs implemented by regulated institutions.
  • Knowledge of conducting investigations, examinations, or audits of financial institutions.
  • Knowledge of the analysis of people, activities, methods, or trends, including money laundering, financial crime or other illicit activities.
  • Ability to work within a team of professionals.
  • Ability to write concisely and clearly with minimal editing.
  • Excellent computer software skills, including PowerPoint and Excel.
  • Speak and write fluent English and Chinese (Mandarin and ideally Cantonese).
  • Entrepreneurial team player who can excel in a fast-paced, challenging work environment.



Years of Experience


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