Associate Vice President, Aml

**Role summary**:
This role is responsible for leading the customer screening, AML/CTF programme and controls function for
in APAC that ensures MIS meets both its United States regulatory obligations (OFAC/sanctions) and its
AML/CTF regulatory obligations.

**Key Accountabilities**:

- Identify, design, implement strategic improvements and document processes & controls to meet regulatory requirements; partner with Commercial AML/CTF AVP operations leads in APAC to automate where possible via the core workflow tool Fenergo and RDC customer screening tool
- Track milestones for strategically improving and enhancing existing systems, policies, controls and guidelines to maintain regulatory compliance, reduce risk and improve efficiency
- Actively engage and work closely with Compliance to ensure regulatory requirements, risks and controls are effectively managed through a robust framework
- Perform risk-based and cross-LOB analysis focused on product, client/customer, industry sector and geography, to provide AML/CTF guidance on and define risk based solutions to complex regional business issues
- Analyze common trends and themes on any regulatory and compliance testing findings etc.to identify improvement opportunities for tighter controls
- Track and maintain the RCSA for customer risk assessment
- Create and use written or verbal presentations of recommendations, articulation of arguments supported by documented analysis to convince/challenge the compliance, legal and risk on recommended actions and escalate to AMD if required
- Thorough understanding of the latest AML/CTF industry standards and developments
- Through individual and team coaching, development, training and knowledge sharing ensure the team has the correct skills and knowledge of the MIS AML/CTF standards and policies
- Contribute to performance review of the AML/CTF team based on regular engagement and overlap
- Produce analysis (through presentations) on performance and controls to management and various MIS Boards
- Prepare for briefings with risk based events and/or trends, and corrective action proposals for review and discussion by the MIS Enterprise Risk Management Committee
- Assist with regulatory SFC Institutional Risk Assessment, MAS Enterprise Wide Risk Assessment and other similar requirements
- Oversee and manage timely responses to regulatory enquires and inspections of AML/CTF
- Provide management oversight for BAU operations where required
- Bachelor’s Degree, preferably in Business Management, Finance or Accounting
- Over 8 years relevant experience in an established financial institution or trading firm AML/CTF experience (including negative media and PEP screening) dealing with corporate customers
- In-depth knowledge on banking operations procedures, risk management as well as regulatory compliance standards
- Sound knowledge of AML regulations across HK or SG (additional jurisdictions preferred)
- Experience in managing regulatory change, program execution, Internal Audit, Compliance Surveillance and external audit reviews
- Strong management and leadership skills, ability to effective manage regional initiatives
- 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
- Strong people management skills.
- 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
- ACAMS qualified

Commercial - AML & CTF

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.

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