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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in leading Compliance Operations within regulated financial services, focusing on operational efficiency, regulatory frameworks, and team performance management. Proficient in AML-related investigations and ensuring compliance with financial crime standards.
Highest-signal resume keywords
Compliance Operations LeadershipFinancial Crime Frameworks KnowledgeAML-Related InvestigationsTeam Performance ManagementRegulatory Reporting
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulatory Operations ManagementTransaction MonitoringOnboarding ProcessesFraud Risk ManagementAssurance TestingPerformance ReportingProcess ImprovementPolicy ComplianceClient Service CoordinationData Analysis
Soft Skills
Organizational SkillsAttention to DetailAdaptabilityInterpersonal SkillsCommunication Skills
Industry Keywords
Hong Kong Money Laundering OrdinanceUK Money Laundering RegulationsEU Anti-Money Laundering DirectivesRegulated Financial ServicesOperational Functions
About the role
Key responsibilities & impact- Lead and scale the local Compliance Operations function
- Serve as the operational bridge between compliance, settlements, client service, and group leadership
- Oversee day-to-day regulatory operations, including onboarding, transaction monitoring, and partner bank communications
- Guide Group Compliance Operations on SLAs for customer onboarding, periodic reviews, screening, beneficiary creation, transaction processing, fraud risk management, and customer or transaction interventions
- Liaise between settlements, client service, and compliance to ensure transactions are completed and anomalies are managed according to firm policy
- Coordinate communication among compliance, operations, and client service teams
- Prepare daily and weekly reports and escalate exceptions to Group CO and Group COO
- Lead timely AML-related investigations and escalations
- Monitor partner-bank responses against bank and internal deadlines
- Oversee accurate and timely information provided to internal and external stakeholders
- Manage and report on Compliance Operations team performance
- Ensure team training and ongoing support
- Drive operational efficiency and process improvement
- Liaise with overseas entities to ensure effective communication and continuity
- Support delivery of regulatory frameworks and controls
- Maintain procedures and controls documentation to support policy compliance
Requirements
What you’ll need- Minimum of 5 years’ experience leading teams fulfilling operational functions within regulated financial services
- Experience managing teams of up to 20 people, with direct and indirect reports
- Knowledge of financial crime frameworks and standards, including Hong Kong Money Laundering Ordinance, UK Money Laundering Regulations, and EU Anti-Money Laundering Directives
- Highly organised with a deadline-driven approach to delivery of services
- Attention to detail and ability to extract learnings for cross application
- Focused on process improvement and remediation of gaps in team performance
- Background in designing, adapting, and managing ongoing assurance testing
- Experience providing accurate and timely management information and reports
- Highly adaptable in meeting the needs of internal stakeholders and partnering with them to overcome complex issues
- Excellent verbal and written communication skills with strong interpersonal and influencing skills
Benefits
Comp & perks- Opportunity to be part of building a new financial services platform for a borderless world
- Learn and progress in a friendly, dynamic and multi-cultural environment