KYC Analyst

Saxo Bank Securities Ltd, Japan is a licensed subsidiary of Saxo Bank A/S and has operated in Japan since 2007. We provide access to global markets for our local customers and serves as a gateway to Japan markets for our global customers. Saxo enables individual and institutional clients to trade more than 40,000 instruments globally from one single margin account and provides institutional clients such as banks and fintech with Open Banking solutions from multi-asset execution, prime brokerage services to trading technologies.

Saxo‘s multi-asset platform provides access to trade across FX, FX Options, Futures, Stock Options, Stocks, Bonds, CFD’s, Indices, etc. Our clients include Banks & Brokers, Fund Managers, Private Banks, Corporates, Investment Managers and Family Offices, HNW and retail clients.

Candidate will support Japan client onboarding and KYC journey by following the localized procedures outlined by Saxo Bank Headquarter in Denmark.

Responsibilities includes but not limited to:

• Perform client onboarding and renewal processes related to KYC documentation. The main client segment is private and corporate.
• Identify, manage, and escalate blockages that prevent the KYCs from moving to approval stage.
• Support Sales with the assessment of risk issues identified during the due diligence process (related to adverse media, sanctions, PEPs, etc).
• Identify, request, and follow up on documentation required from the client. Ensuring the "Once to Client" rule is adhered to as much as practical.
• Review documentation "correctness" (i.e., that the document is "true" and conforming to relevant standards).
• Scan, upload and tag the KYC documentation per global documentation standards.
• Communicate with Global and APAC Network Locations on queries related to KYC .
• Track turn-around-time on client onboarding process, identify, manage blockages, and timely escalation.
• Source and arrange to validate client tax documents when required (FATCA / CRS).
• Submit KYC cases to Makers. Take the lead on the Maker and Checker process to ensure completion and SLA are met.

Requirements

• Around 3 years of relevant KYC/AML experience.
• Operations & Sales - Clarification, status updates, escalation. Inform when KYC for new client approved for account to be opened, credit lines established, etc.
• Makers & Checker Team - Clarification on issues or required documents.
• Financial Crime Compliance (AML & Sanctions) - To obtain clarification/approval when required.
• Clients - To obtain KYC documentation and clarification when needed.
• Good to have: Certificate of Internal Controls Manager (内部管理責任者)
• Good to have:
• Business English skill to communicate smoothly with international and domestic internal customers.