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Compliance Due Diligence Officer, APAC Compliance Operations (Japanese


Credit Suisse

2020-09-08 22:02:01

Job location Hong Kong, Hong Kong, Hong Kong

Job type: fulltime

Job industry: Other

Job description

Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 different nations. Embodying entrepreneurial spirit, Credit Suisse delivers holistic financial solutions to our clients, including innovative products and specially tailored advice. Striving for quality and excellence in our work, we recognize and reward extraordinary performance among our employees, provide wide-ranging training and development opportunities, and benefit from a diverse range of perspectives to create value for our clients, shareholders and communities. We are Credit Suisse.

We Offer
This role will focus on the execution and development of the Financial Crime Compliance Program across Credit Suisse Private Banking division especially around the area of new client approvals and ensure that the Program meets internal and applicable local legal or regulatory requirements and standards. The individual would belong to a wider Compliance team and may be required to provide regional support to the various country MLROs in ensuring that Global and Regional FCC standards are appropriately implemented and executed.

We are a department that values Diversity and Inclusion (D&I) and is committed to realizing the firm's D&I ambition which is an integral part of our global Conduct and Ethics Standards.

Client Identification

  • Provide Compliance approvals across all risk levels for all account opening cases which include but is not limited to Source of Wealth, Source of Funds, KYC Identification, AML, KYC, FATCA, CRS, etc.
  • Ensure all high risk issues have been appropriately been identified, escalated and relevant approvals have been acquired - PEP, Tax Compliance, Sanctions, Reputational Risk, etc
  • Seek to ensure all accounts approved satisfy the required standards in relation to Financial Crime Compliance and other regulatory requirements
  • Provide support to Japan Central Control Unit over KYC/AML matters.
Business Engagement and Advisory
  • Provide advisory support for the onboarding of high risk or complex clients to ensure full compliance with procedures, policies and regulations
  • Provide Compliance advice to the Hong Kong PB Business and supporting functions on client onboarding matters pertaining to new rules, regulations and initiatives. This includes advising on the relevant impact assessments and implementation
Project Management
  • Support the design, development and implementation of Global and APAC projects by providing specialist support and Compliance advice
  • Drive, manage and implement APAC Compliance Operations projects and deliverables


You Offer
  • Understands the value of diversity in the workplace and is dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work. This should be further elaborated on in your application.
  • Degree in Law / Accounting / Business / Economics / Banking / Finance and related academic qualification. Post-graduate qualifications in AML Compliance preferable
  • At least 5 to 6 years of relevant AML/KYC compliance experience within Wealth Management / Private Banking
  • Strong understanding of AML/CFT regulations and requirements in Asia-Pacific countries, notably Singapore, Hong Kong and international AML standards
  • Proficiency in Japanese is mandatory (JLPT N1 preferred) - although this role is based in Hong Kong one of the primary duties is to liaise with the Japan CCU Team on both correspondences and policies and procedures.
  • Outstanding analytical and problem solving skills as well as work under pressure.
  • Excellent written and verbal communication skills along with good interpersonal and people management skills
  • Experience in dealing with regulators and auditors preferred
  • Strong proficiency in Microsoft suite especially Excel


Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success.

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