AML Compliance Officer – Legal and Regulatory Affairs

4 weeks ago

Markham, Ontario, Canada BANK OF CHINA Full time

Position Overview:

The AML Compliance Officer, reporting directly to the Bank's Chief Anti-Money Laundering Officer (CAMLO), will play a pivotal role in the formulation, execution, and oversight of the Bank's Anti-Money Laundering (AML) and compliance initiatives. This includes the establishment and enforcement of compliance frameworks, policies, and procedures aimed at identifying and mitigating compliance risks.

Key Responsibilities:

  • Oversee the management and execution of the second line of defense monitoring and evaluation program for AML and Anti-Terrorist Financing (ATF).
  • Enhance and sustain AML/ATF policies and operational procedures.
  • Ensure adherence to regulatory standards set forth by the Office of the Superintendent of Financial Institutions (OSFI) and the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC).
  • Assist in refining tools for monitoring, analyzing, and reporting financial transactions as mandated by FINTRAC.
  • Conduct reviews of flagged activities to ensure compliance with established policies and procedures.
  • Monitor and report on changes in legislation and regulatory requirements concerning AML and ATF.
  • Support the design, development, and execution of the AML/ATF client risk assessment framework to facilitate all customer interactions.
  • Provide timely and consistent feedback on escalated AML/ATF cases.
  • Collaborate with management to devise investigative strategies and compliance measures related to AML and ATF.
  • Contribute to the development and implementation of the Bank's compliance programs and initiatives.
  • Deliver relevant compliance reports to the Legal and Compliance Department Management, particularly concerning AML and ATF.
  • Ensure thorough and prompt investigations of all incidents related to AML and ATF.
  • Identify potential AML/ATF compliance gaps and coordinate projects to address these issues.
  • Maintain a comprehensive register of all reported incidents, both internally and externally.
  • Assist in promoting compliance awareness and training initiatives across the Bank.
  • Stay informed about emerging regulatory changes, compliance risks, and trends in financial crime.
  • Support the management of the AML/ATF Compliance Program in alignment with the Bank's Risk Control Matrix Policy and OSFI Guideline E-13.
  • Engage in special projects as necessary, providing insights and guidance on risk and compliance issues arising from new business activities.
  • Perform additional duties as assigned by the CAMLO.

Qualifications and Skills:

  • A university degree in business, finance, or a related discipline, complemented by a minimum of 5 years of experience in AML/ATF, Risk Management, and Compliance within the Canadian financial services sector.
  • Proficient in interpreting laws and regulations pertinent to the financial services industry, specifically regarding AML and ATF.
  • Strong understanding of regulatory trends and challenges associated with AML and ATF.
  • Exceptional research, communication, and organizational abilities.
  • Comfortable interacting with all levels of staff within the Bank and with regulatory bodies.
  • Effective time management skills, capable of meeting deadlines across multiple projects.
  • Strong public speaking and presentation capabilities.
  • Well-developed oversight and organizational awareness skills.
  • Adept at navigating conflicting viewpoints and devising innovative solutions.
  • Experience in people management is preferred but not mandatory.
  • Proficiency in the Chinese language is an asset but not essential.
  • Good working knowledge of IT applications (e.g., Word, Excel, Outlook, etc.).

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