comScoreTag
Job ref no.: CT3115413-01#3105

KYC/CDD, Client Management WM V Private Banking/ WM

Asia Progress Executive Limited

Our client is reputable Private Banking /Wealth Management To cope with the rapid business expansion, they are now inviting high caliber candidates to join the team

 

KYC/CDD , Client Management – Private Banking/ WM  ( many posts) 

 

Responsibilities

Implementation and Process

  • Work closely with Front Office to facilitate the collection of KYC and other relevant documents in accordance with the prevailing account opening procedures and local regulations. To ensure evidence of each customer’s identity and other relevant documents are received in order before account opening. 
  • Review and approve KYC for new client on-boarding for standard sensitive accounts (i.e. non high risk clients).
  • Perform qualitative and quantitative check on New Account Documentation for all clients
  • Conduct KYC/CDD review on existing clients through periodic review.
  • Ensure all client files are stored and maintained accordingly (electronically and in paper format).
  • Support Front Office queries related to client on boarding and client due diligence process.    
  • Prepare regular reports for Management review (account documentation irregularities, monthly statistics).
  • Ensure timely processing of static data updating request

Team Spirit

  • Work within a team – with an adaptable flexible approach, coordinate with team members and Front Office to resolve complex cases and address issues in a timely manner.
  • Be open to change and support the vision of working in a fully transversal operation
  • Information Sharing
  • Ability to share information and eventually train new team members.
  • Control and Risk
  • Abide with operational risk procedures and escalate incidents to Seniors where necessary
  • Contribute to the implementation and controls for daily processes and assist with the update of procedures
  • Report and escalate concerns/ issues to Seniors when required
  • Communication
  • Liaise regularly with the following internal groups to ensure a smooth on boarding process: Compliance, Legal, FO teams, Client on-boarding and due diligence team in Singapore/Hong Kong or other support teams within WMHK/WMSG that have any involvement in the Client On-boarding process

Comply with company’s Permanent Control Activities

  • Direct contribution to company’s operational permanent control framework.
  • Contribute to the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan
  • Comply with regulatory requirements and internal guideline
  • Contribute to the reporting of all incidents according to the Incident Management System
  • Minimizing operational failure, including but not exclusively, the risk of fraud, by helping to devise, and by implementing, sufficient regular controls
  • Ensuring appropriate escalation to management and/or Permanent Control (or Compliance as appropriate) as soon as an issue is identified

 

Requirements

  • Bachelor’s level degree or professional qualification
  • Minimum 5 years of relevant working experience in Private Banking /WealthManagement in Client ON Boarding /CDD 
  • Understand the principles and be familiar with WM products and types of customers
  • Strong understanding of account documentation, due diligence and local Anti-Money Laundering requirements
  • Fluent in English (spoken and written). Good command in Mandarin is a plus (for supporting Taiwan/China Markets). 
  • Excellent communication and interpersonal skills
  • Must possess a strong fundamental and technical skills, awareness of operational risk
  • Excellent PC skills, especially in Excel. Knowledge of ACCESS is an advantage.
  • Team player, independent, hardworking, eager to learn and attention to details
  • Client-oriented and high adaptability to changing environment
  • Able to work under pressure and deal with unclear requests as well as a high volume of requests
  • Strong analytical and strong risk sense

 

 

Please send full resume with present & expected salary to expedite sourcing in MS-WORD format by clicking “Apply Now"

 

Please quote our reference in your application

 

Personal data provided by job applicants will be used strictly in accordance with the employer’s personal data policies, a copy of which will be provided upon request

All information provided will be used for recruitment purpose only

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

More job information
Job ref no. CT3115413-01#3105
Salary
  • N/A
Job Function
Industry
Experience
  • 5 years - 10 years
Career Level
  • Middle management level
Education
  • Degree