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The Legal Entities Group operates within the Data Operations of Shared Services Banking Operations ("SSBO") and partners closely with the Legal and Compliance Division, Risk Management and Client Reference Data ("CRD") to assist the Firm's Sales and Trading and Wealth Management to comply with regulatory obligations that involve data and documentation requirements.
The group has three primary areas of focus:
Analysis and storage of client documentation on all new clients to ensure that the firm complies with Global Client Identification and Know Your Customer regulations
An ongoing refresh of client data and documentation for existing clients
Legal entity creation & maintenance
The duties of the role will include a combination of the following:
Perform KYC and CDD check on new client.
Update firm systems and databases with information / documentation obtained from the client.
Handle inquiries and ad hoc requests from internal clients including Compliance where required.
Perform remediation work where needed.
Deal with the environment changes e.g. regulation change, new business and/or technology projects.
Ability to interact effectively with Business Units, Compliance, global colleagues and build good working relationships.
Ability to work independently and meet the business deadlines with accuracy, handle trouble shooting to mitigate risks associated with the business that we manage.
Multi-tasking to handle various business demands.
Must have strong written and verbal English and Chinese skills.
Ability to manage pressure and stressful business demands.
Minimum of 1 year of experience in client onboarding or periodic review
Familiarity with CDD and KYC regulatory requirement is a plus