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Senior Compliance Officer (Source of Wealth) - contract until March 20


Allegis Global Solutions

2020-09-01 00:07:42

Job location Hong Kong, Hong Kong, Hong Kong

Job type: contract

Job industry: Legal

Job description

At Allegis Global Solutions we're proud to be the leader in global talent solutions. We draw upon decades of industry expertise to develop innovative tools, products, processes and strategies focused on outcome. Moreover, we're incredibly proud to have built a culture that empowers our people to make their mark while making deep connections that will last a lifetime. With our passion and culture for talent, we are truly transforming the way the World acquires talent.

Our Client is one of the leading global wealth managers with strong investment banking and asset management capabilities. Founded in 1856, they have expanded to be a global force employing over 45,000 people in 50 countries. With new leadership, a new strategy and a streamlined global organization, they are set for growth.


We are actively recruiting a number of roles to join the Source of Wealth (SoW) Team, part APAC First Line of Defense Support (FLDS).

Key Responsibilities:


Reporting directly to the head of the Source of Wealth Taskforce, the role includes the following core challenges:

1. You will be responsible for leading a team of 6-8 analysts who will be performing plausibility checks on the SoW write ups.

2. You will be the key point of escalation for issues identified by the team or the stakeholders in the front office

3. Supported by the team manager you will facilitate the resolution of issues and ensure that the team delivers effective output in line with the target deadlines

4. You will ensure that the quality of the teams output meets the high standards by sample checking their work

5. You will support the team manager to identify examples of good and bad practices to act as learning and development points for the team and the relationship managers

6. You will work with the team manager to identifying areas of development for the team and to ensure the team stay motivated to deliver again the challenging deadline

7. You will provide transparency and oversight to management to monitor the progress of the team, both by quality of the output and progress against deadlines

To be considered for this role, you must have:

Essentials Skills and Qualifications:

  • KYC knowledge in SoW is preferred.
  • Knowledge of MAS and HKMA regulations is preferred.

Desired Skills and Qualifications:

  1. 1. A critical mindset and strong analytical skills - ability to understand complex information and to apply logical reasoning to assessment if that information makes sense
  2. Fast learner - the ability to pick up new information quickly and assimilate information from multiple sources
  3. Effective communication and stakeholder-management skills, particularly in the ability to liaise with relationship manager and compliance
  4. Strong attention to details to ensure that all items are accurately recorded for a robust audit trail
  5. Good organizational and time management skills, including the ability to prioritize tasks
  6. KYC knowledge in particular an understanding of Source of Wealth is preferred
  7. Private Banking background is an advantage, but not mandatory (subject to the overall skills of the candidate)
  8. Knowledge of MAS and HKMA regulations is desirable.

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