Officer KYC Ops

Officer, Client Operations, Setclear

Key Areas of Responsibilities

• Performing screening reviews and KYC document collection majorly for Asian based clients
• Managing the workflow process for client account opening form initial client contact to when the account starts transacting
• Collecting all relevant information, constitutional documents and managing the account opening process for new clients. This will include liaising with the front office/ internal stakeholders such as Syndicate Operations, CLSA, FATCA team and clients on KYC documentation collection
• Performing verification checks with external data sources and Screening tools to ensure that all documents submitted meet the defined Customer Identification Program. Drafting and obtaining approvals for Politically Exposed Persons and special cases deviating from the CLSA Group AML and CFT Policy when necessary
• Classifying new and/or existing clients from a risk and regulatory perspective
• Interacting with existing client accounts to handle any tasks arising from periodic reviews.
• Resolving any issues arising from the screening processes in a professional and efficient manner. Timely escalation of exceptions needs to be made to the Regional Head of AML or Group Head of Compliance when necessary
• Maintaining a current database of all information, documents, financial reports, and news on our accounts for Compliance vetting, Legal and Internal Audit
• Promote ideas for process improvement and assisting in their implementation

Requirements

• Must have 4 to 6 years of relevant experience in Investment banking AML/KYC process
• Good understanding of constitutional documents and corporate structures is required
• Working knowledge of account-opening and related processes is required
• Knowledge of markets and instruments is a plus, in addition to front to back investment banking processes
• Knowledge of anti-money laundering regulations
• Attention to detail and process oriented
• Investigative skills
• Proficient in Word and Excel
• Good prioritization, organizational and multi-tasking skills
• Self-motivated, desire to be challenged and eager to learn