Compliance Associate

Responsibilities

Due Diligence & Onboarding SupportConduct 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 & InvestigationsConduct 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 ManagementConduct 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 & SupportAssist 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.RequirementsBachelor's Degree in Legal, Finance, Accounting, Business or related disciplinedMinimum 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 independentlyWell-organized, highly adaptable, and detail mindedGood written and spoken communication skills in both English and Chinese (Mandarin and Cantonese)Immediate availability is highly preferred