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Standby support for Relationship Managers / Relationship Manager Assistants (RM/RMA) for PWM account documentation queries, covering individual, company and institutional clients;
Ensure Relationship Managers' / Relationship Manager Assistants' understanding of the PWM application documentation, and other regulatory requirements during client onboarding and client data maintenance;
Ensure the accuracy and completeness of account documentation in accordance with the compliance policy and regulatory requirements;
Conduct database and internet search to ensure RM/RMA has diligently performed the KYC and client due diligence; and, ensure the ongoing screening alert from the database is properly monitored & resolved.
Review the data input and documents uploaded into the client onboarding system and their subsequent flow through to the front office and other downstream systems.
Trigger RM/RMA periodic Client Review and review on its competence.
Regular follow up on outstanding documents / issues / remediation and prepare quality management report.
Engage in ad hoc projects including systems testing (UAT), process improvement, and regulatory change initiatives, effectively implement new initiatives in terms of system, process, risk and control.
A university degree with 6 to 15 years' experience relevant to client onboarding / KYC / client due diligence / client review / risk & control / internal audit / AML compliance
Proficiency in both English & Chinese.
Putonghua language skills (Business level) a must
Highly motivated and results orientated
Strong problem solving skills.
Responsive to change & challenge
Understand business process, risk & control framework and attention to detail