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Conduct CDD/ECDD for Corporate Clients (including funds), Trusts, Introducing Brokers, Individuals and approve account opening applications;
Review and ensure that all CDD and ECDD information (source of funds and wealth) are obtained;
Review, formulate and implement Client Services policies (including AML policies);
Address queries from Compliance reviews, audit findings and SGX/MAS;
Liaise with internal stakeholders (business units, dealing, operations) and clients to ensure KYC/Account Opening documents are submitted;
Conduct remediation/periodic reviews for existing accounts and ECDD for high risk customers;
Incorporate new policies into the Client Services Manual and customer forms;
Review FATCA and CRS self-certification information for regulatory reporting;
Maintain compliance with all corporate and regulatory standards (eg, SFA, AML/CFT, FATCA, CRS, etc);
Ensure that client are kept up-to-date on regulatory changes;
Communicate with clients via telephone and email correspondence;
Update statistics for monthly reporting;
Any Ad-hoc tasks from Operations Head.
Operations (Optional but advantageous)
Prior experience in securities/OTC bonds & derivatives/FX settlement, securities depositary, or securities margin financing will be advantageous. The candidate may be assigned operational duties depending on his/her experience.
A degree in Finance, Accounting or Economics with a minimum of 5 years of relevant work experience.
Demonstrates a good understanding and working knowledge of MAS' AML/CFT regulations, Sale of Investment Products (SIP/CAR/CKA), MAS' circulars relating to client information, FATCA and CRS regulations is a must.
Prior experience in processing Corporate Account (including Funds) and Trust Account applications; World check screening (batch upload, resolution) are required.
A good understanding of financial statements.
Client onboarding with AML Compliance / Operations background is preferred.
Proficient in MS Word, MS Excel Vlookup, MS Powerpoint.
Strong analytical skills and good time-management.
A goal-getter, independent, resourceful, shows initiative and good writing skills
Good command of written and spoken English and Chinese, including Putonghua (in order to liaise with Chinese & Putonghua speaking associates)