Senior Associate, Aml/cft Apac

Role summary:
This role is responsible for internal and customer facing support related to MIS AML/CTF program and controls function in APAC that ensures MIS meets both its United States regulatory obligations and its AML/CTF country regulatory obligations. Under the supervision of the AVP, Commercial Customer Screening, AML/CFT, this role is primarily focused on Quality Assurance, regulatory compliance and process improvement.

Key Accountabilities:

- Develop, execute and maintain an effective quality testing program that ensures adherence to relevant laws, regulations and policies
- Perform independent Quality Assurance over completed AML and KYC records to ensure high quality standards are maintained in strict adherence with MIS policies, procedures and AML Operational Guidelines
- Ensure high quality standards are maintained for KYC casework conducted by KYC makers
- Review cases for adherence to AML Operational Guidelines and ensure conclusions are clear, complete and supported by the information in the file
- Assist in identifying trending issues, problem areas, risks and gaps associated with processes and make recommendations to improve quality of KYC casework
- Serve as a key support resource for delivering training and guidance to KYC analysts.
- Decrease regulatory and reputational risk by exercising sound judgment in reviewing cases
- Keep abreast of legal and regulatory changes. Identify and assess ML/TF risks and develop testing strategies to address identified risks
- Assist in performing the Enterprise-Wide Risk Assessment exercise
- Tracking of findings issued through audit and Quality Assurance testing to ensure remediation of the findings has been done adequately and in a timely manner
- Assisting in administering the monthly Quality Assurance forum. This includes managing meeting logistics, preparing decks and supporting documents and writing meeting minutes
- 5-7 years of relevant experience in an established financial institution with a focus on AML/CFT and KYC. Experience in compliance monitoring and testing, risk management or internal audit will be a plus.
- Strong knowledge of AML/CFT regulatory compliance requirements, analysing risks and best practices
- Sound knowledge of AML regulations across HK or SG (additional jurisdictions preferred)
- Able to communicate effectively, clearly and concisely at all levels both internally and externally. Strong oral and written communication skills in English
- Excellent interpersonal and influencing skills along with commercial acumen required for rapport building with customers and internal staff
- Strong execution skills, to plan, organize and drive through results under conflicting priorities and pressures
- Must be a self-starter, pro-active, organized, with a keen eye on details and have the ability to work independently at a local, regional and global level
- Highly motivated, intuitive and possess initiative to identify potential process improvements
- An analytical mind with attention to detail
- Fluency in Asian languages (such as Cantonese, Mandarin, Korean and Japanese or Portuguese advantageous)
- Strong MS Excel and PowerPoint skills

Commercial Customer Screening

Moody’s is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected veteran status, sexual orientation, gender expression, gender identity or any other characteristic protected by law.

Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions.