Compliance and Anti-Money Laundering Management Specialist

Job Overview

This role involves supporting the department head in establishing and refining internal control systems, compliance management frameworks, and anti-money laundering (AML) procedures. The specialist will manage compliance tasks within the credit business department, ensuring company policies are applied effectively. Responsibilities include compliance reviews of departmental activities, support and training for team members on compliance duties, and oversight of all AML-related initiatives such as monitoring, consultation, self-inspection, reporting, and handling of abnormal transactions.

Key Duties

• Assist in creating and maintaining internal control, compliance, and AML policies and processes.
• Manage compliance for the credit business department in alignment with organizational regulations.
• Conduct compliance audits for department activities and external documentation, supporting staff in adherence to compliance responsibilities.
• Collaborate with the legal compliance department to monitor employee investments, facilitate declarations, and promote professional conduct within the department.
• Lead daily AML tasks including monitoring, inquiries, self-inspections, reporting, and abnormal transaction management.
• Identify and address major AML risk issues related to the department, conduct AML awareness campaigns, risk assessments, and emergency response for money laundering and terrorist financing threats.
• Implement compliance and AML training sessions as per legal compliance department directives and departmental training plans.
• Regularly report to the legal compliance department on the status of compliance and AML activities, and promptly communicate significant or emergent incidents.
• Serve as secretary for the credit business decision committee and manage related departmental administrative work.
• Perform other duties assigned by department leadership.

Qualifications

• Bachelor’s degree or higher from a recognized domestic or international university; preference for majors in Law, Finance, Economics, or related fields.
• Minimum of two years of relevant work experience with securities industry qualification required.
• Strong familiarity with industry laws, regulations, credit business knowledge, and workflows.
• Excellent communication and teamwork skills, strong professional and business advisory capability, meticulous work attitude, and proactive initiative.