CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Accountable for the review of Private Bank account opening documents, including individual account, corporate account & Trust Account for onshore and offshore clients
The job holder requires to ensure the completeness and accuracy of account documentations, CDD/KYC documentations, U.S. tax declaration form as well as applicable supporting documents.
To review documentations on client profile amendments, including shareholders/directors change, and add/delete account signatories, etc
To review the completeness, accuracy and consistency of account opening documents to ensure adherence to the Group Client Due Diligence Policy, investment sales policies, U.S. tax requirements and regulator guidelines.
Perform independent review to ensure documentations 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.
Initiate/Support to liaise with relevant parties, e.g. Platform Managers, Middle Office, Compliance & Chennai Hub etc. in streamlining existing processes to maximize productivity and efficiency in PvB.
Improve the weakness lead to maximise the output.
Take different job duties to enlarge the knowledge of the job
Timely mitigation of risks and resolution of issues including collaboration with all relevant stakeholder functions, and establishment of effective controls.
Adhere to the agreed CST and deliver sample documents for CST
Analysis the AOD gaps and provide reports to management and Operations Risk on the outstanding gap items and liaise with CA/CSM to close the AOD gaps
To provide constructive advices to PvB CA/CSM on the enquiries related to account opening documentations and client profile amendments.
To review client signing arrangement appointment and to identify the control gaps due to special signing arrangement request for management's review.
Ensure prior approval has been granted by PvB Compliance and PvB Business for AML/AOD gap items.
Prepare/Maintain/Update Desk Operating Instructions (DOIs) for critical processes
Ensure client information in CuPID is correct at account opening
Responsible for the preparation of regular and ad hoc management report for account documentations
Display exemplary conduct and live by the Group's Values and Code of Conduct.
Lead the Hong Kong PvB Client Approval & Review team to achieve the outcomes set out in the Bank's Conduct Principles: Fair Outcomes for Clients; Financial Crime Prevention and The Right Environment.
Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Equal Opportunity Employer
Standard Chartered is an equal opportunity employer. We have a meritocratic culture where each individual employee is valued and respected for who they are as a person and for what they bring to the organisation.
Diversity and Inclusion
Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal.