Compliance Associate

Responsibilities:

• Due Diligence & Onboarding Support
• Conduct Customer Due Diligence for new customer onboarding in compliance with regulatory and internal requirements, and ensure KYC documentation and information are properly maintained.
• Verify identity documentation, verify legal ownership structures, and assess the nature of business activities during onboarding and periodic reviews.
• Perform initial name screening against sanctions lists, PEP databases, and adverse media using screening tools.
• Transaction Monitoring & Investigations
• Conduct daily monitoring of client transactions using compliance tools to identify suspicious patterns, potential structuring, or unusual behavior.
• Review and clear routine alerts; draft Suspicious Activity Reports (SARs), and support regulatory filings.
• Risk Assessment & Third-Party Management
• Conduct end-to-end risk reviews, due diligence screenings, and risk rating assessments for clients, vendors, and counterparties across onboarding and ongoing monitoring cycles.
• Maintain records of vendor risk profiles and control deficiencies.
• General Compliance Administration & Support
• Assist with updating compliance manuals, tracking employee compliance training completion, and implementing new regulatory updates.
• Help gather supporting documents and workpapers for internal audits, and regulatory inquiries.
• Provide general administrative support to the Compliance Department as needed.

Requirements

• Bachelor's Degree in Legal, Finance, Accounting, Business or related disciplined
• Minimum 1 year of compliance experience. Relevant working experience in CDD, KYC, and AML compliance within financial institutions is highly advantageous.
• Have a strong sense of responsibility, detail oriented and able to work independently
• Well-organized, highly adaptable, and detail minded
• Good written and spoken communication skills in both English and Chinese (Mandarin and Cantonese)
• Immediate availability is highly preferred