The Associate in KYC Operations is responsible for performing Periodic Reviews for international accounts, coordinating with various functions to ensure compliance with KYC and AML protocols, conducting client due diligence, managing documentation, and enhancing processes for the client onboarding framework.
Key Areas of Responsibilities
- Performing timely Periodic Reviews for the international accounts that are managed out from HK/SG/AU region
- Coordinate client / counterparty across multiple functions / units - Front Office, Compliance, AML, Operations, FATCA under business/ client urgency
- Collecting all relevant constitutional documents. This will include liaising with external client and Internal teams. Chinese language proficiency is a strongly recommended skillset.
- Strong understanding of KYC requirements and undertake client due diligence on existing clients to ensure identification of changes in risk profile, including reputational and operational risk factors
- Performing verification checks with external data sources and Screening tools to ensure that all documents submitted meet the defined Customer Identification Program and Internal AML policies
- Interacting with existing client accounts to handle any tasks arising from periodic reviews.
- Participate in testing of enhancements to client due diligence databases, systems.
- Resolving any issues arising from the screening processes in a professional and efficient manner. Timely escalation of exceptions needs to be made to the Regional Head of AML or Group Head of Compliance when necessary
- Maintaining a current database of all information, documents, financial reports, and news on our accounts for Compliance vetting, Legal and Internal Audit
- Identify and execute process improvements, provide guidance and support on key process and technology initiatives to the business. Promote ideas for process improvement and assist in their implementation.
Requirements
- Minimum 4 years of relevant experience in KYC/Client Onboarding functions and preferably within the banking industry.
- Value add skill in Mandarin language proficiency in basic reading, writing and speaking
- Good understanding of constitutional documents and corporate structures is required
- Working knowledge of periodic review for equity and FI products is required
- Knowledge of HK SFC / SG MAS AML regulations will be an advantage
- Attention to detail and process oriented
- Research/ Investigative skills
- Proficient in Word and Excel
- Strong attention to details, process oriented, time management, organizational, relationship building skills plus keen investigative skills
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