The due diligence (DD) team conducts comprehensive and discreet due diligence investigations to identify and assess business and reputational risk issues involving potential clients, partners and vendors. The Director plays a vital role in ensuring that the day-to-day operations of the Hong Kong Due Diligence team run smoothly. He/she will be expected to harness a working environment which encourages team work, energy and creativity. To achieve this, he/she should have strong leadership and excellent problem-solving skills along with good communication skills.
The DD team works closely with the Business Units, Client On-Boarding teams, Financial Crimes Group, Environmental Risk Officers etc. in the region and globally.
- Work under the guidance of the Asia Pacific Due Diligence management to deliver an effective DD program for the firm.
- Overall responsibility for case management and adherence to client SLAs.
- Review regional due diligence reports prepared by the team.
- Conduct review of information and sources for accuracy, reliability and relevance in assessing risk.
- Work closely with Business Risk Officers, Financial Crimes Group officers and other Firm committees when a material due diligence finding has been identified.
- Provide updates as required to senior management, global counterparts and Chief Operating Officers of Business Units within the Firm.
- Manage, develop and implement regional policies and procedures, to ensure that the DD program is effective and compliant.
- Manage, develop and maintain a robust due diligence vendor pool to ensure that the firm get the most comprehensive and relevant DD product at the most competitive price.
- Continually enhance all aspects of the process to keep pace with the needs of the firm and the changes in the regulatory landscape.
- Represent the function in all internal external audit/review/testing engagements.
- Develop training materials related to due diligence process.
- Assist with ad-hoc tasks given by the CSI management team.
Experience, Qualifications & Skills
- More than 6 years of work experience, 5 of which should be in core Due Diligence in Asia.
- Excellent people and communication skills in a culturally diversified environment.
- Proficient in English and Mandarin language skills.
- Proven track record of managing complex cases using source commentaries and field investigations.
- Hands on experience in desktop information retrieval and knowledge of on-line databases and data mining tools.
- Strong investigation and report writing /reviewing skills.
- Ability to build and comply to processes with a keen eye for details.
- Ability to deal with and articulately brief senior management on cases.