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Responsible for all Compliance issues relating to client, BI and onboarding including but not limited to review of processes.
Tracking and maintaining records of the status of each account opening.
Assist in regulatory reporting and HO reporting, where required.
Responsible for Compliance periodic review of clients (HRC, Standard Risk, PEP).
Responsible for monitoring, review for staff compliance with Code of Conduct, conflict of interest issues.
Responsible for NCM, FATCA issues.
Assist in AML transaction monitoring and / or investigation works undertaken by Compliance.
To provide leave cover for other team members, as required.
Any other tasks as assigned by Head of Compliance or Deputy Head of Compliance.Note:
Minimum Diploma Holder
6-10 years of experience in private banking compliance environment
Experience in using Worldcheck, Lexis Nexis, Google
Good experience in reviewing client due diligence information such as source of wealth, the prospect's economic background, perform searches on the prospect to see if there is any negative news prior to account opening.
Good analytical and problem-solving skills
Read and good understanding of Mandarin.
Team player and able to work independently under tight deadline pressure
Huxley, a trading division of SThree Pte Limited (Registration Number: 200720126E | SThree Pte Limited Licence Number 16S8216 | Huxley Licence Number 53132076J)
Award winner of:
International Recruitment Company of the Year by Recruitment International 2016
Best Client Services by Asia Recruitment Awards 2017
Best Overseas Operation by Global Recruiters 2017
Highly Commended for Best Large Recruitment Business 2017