Compliance Manager, Financial Crime Compliance Manager, Financial Crime …

CLSA Limited
in Hong Kong
Permanent, Full time
Last application, 23 Apr 21
CLSA Limited
in Hong Kong
Permanent, Full time
Last application, 23 Apr 21
Compliance Manager, Financial Crime

Position Description

The Compliance Manager, Financial Crime will be part of the CLSA Financial Crime Compliance team, Legal and Compliance, reporting into the Regional Head of Financial Crime Compliance. He/she will work with the team to maintain a robust financial crime compliance framework, ensure efficient monitoring of clients and transactions, for identification and timely reporting of irregularities/suspicions.

Key Areas of Responsibilities

  • Assist Regional Head of Financial Crime Compliance on advising management, businesses, operations and support teams on AML KYC, FCC related requirements, so as to facilitate client on-boarding, business initiatives and negotiations
  • Monitor regulatory requirement changes and ensure CLSA AML/CFT policies and procedures are up-to-date  and reflect latest regulatory requirements
  • Facilitate understanding of business lines and support functions on AML/FCC policies and procedures, ensuring CLSA’s overall compliance to applicable AML, CFT and Sanctions laws and regulations
  • Participate in compliance projects to refine AML/FCC policies and procedures, and their integration into the firm-wide controls
  • Assist in monitoring clients and their transactions, to identify any unusual transactions for further review and investigation and onward reporting to authorities where necessary
  • Help on ad-hoc checks, risk reviews, remediation and screenings of clients, vendors, counterparties as and when needed
  • Active interaction within the department, middle and back office, as well as with Beijing headquarters, work seamlessly across the various entities forging consistency within CLSA, boosting AML/FCC awareness and culture


  • Degree holder required, preferably in Law, Accounting or related discipline.
  • Working experience in financial institutions, AML compliance and KYC is required.
  • Adapt to multi-tasking and meeting deadlines in high-pressure environment.
  • Good knowledge in securities laws, operations, products and services and analytical skills with the ability to analyse large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately.
  • Proficient in MS Office (Outlook/Word/Excel/PowerPoint)
  • Articulate and able to demonstrate interest in working within Compliance.
  • Self-motivated, well-organized and presented, independent and pleasant personality with good communication skills at all level.
  • Good command of written and spoken English and Chinese (including Mandarin).
  • Candidates with less relevant experience may be considered as “Assistant Compliance Manager, Financial Crime”.


If you are seeking a dynamic environment in which to build your career in CLSA, please send your resume to Kindly specify the position title in the email subject for job application.

CLSA may collect personal data from you for purposes relating to your engagement with the Company, including human resource management and other business and internal / external compliance purposes. Any personal information and /or data collected and held by the Company may be used by the Company or transferred (whether within/ outside Hong Kong) to any other parties within the Company, subsidiaries and affiliates of the Company, internal or external service providers, or any other relevant parties including governmental or regulatory authorities, for the above purposes.

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