Job ref no.: 2300010149
Standard Chartered Bank

Associate Director, Client Approval & Review, PvB

Standard Chartered Bank

Role Responsibilities

  • Accountable for the review of Private Bank account documents, SOW and related corroborations on account opening for individual account, corporate account & Trust Account for onshore and offshore clients.
  • Perform independent review to ensure documentations and SOW corroborations of individual and non-individual client are sufficient and in case complex or multiple layer non-individual client to unwrap the structure to identify the documentations requirement for KYC purpose dictated by Group CDD procedures and AML Ordinance.
  • To review client signing arrangement appointment and to identify the control gaps due to special signing arrangement request for management’s review.
  • To review the completeness, accuracy and consistency of account documents and SOW corroborations to ensure adherence to the Group Client Due Diligence Policy, investment sales policies, U.S. tax requirements and regulatory guidelines.
  • To provide constructive advice to PvB Frontline on the enquiries related to account opening documentations and client profile amendments.
  • Ensure proper approval has been obtained before account opening according to the Group CDD procedure.
  • Ensure client information in CuPID is correct at account opening.
  • Analysis the gaps and provide reports to management and Operations Risk on the outstanding gap items and liaise with Frontline to close the gaps.
  • Ensure prior approval has been granted by PvB Compliance and PvB Business for AML/AOD gap item(s).
  • To prepare and maintain Desk Operating Instructions (DOI) for related account opening processes
  • Responsible for the preparation of regular and ad hoc management report.
  • Initiate/Support to liaise with relevant parties, e.g. Platform Managers, Operational Risk, Compliance & Chennai Hub etc. in streamlining existing processes to maximize productivity and efficiency in PvB.
  • Adhere to the agreed CST/Audit and deliver sample documents for CST/Audit. 

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More job information
Job ref no. 2300010149
Job Function
Work Model
  • On-site / At the workplace
Employment Term
  • Permanent
  • Full-time
Career Level
  • Middle management level
  • Degree