Associate, KYC Operations, Setclear

Key Areas of Responsibilities

• Performing timely Periodic Reviews for the international accounts that are managed out from HK/SG/AU region
• Coordinate client / counterparty across multiple functions / units - Front Office, Compliance, AML, Operations, FATCA under business/ client urgency
• Collecting all relevant constitutional documents. This will include liaising with external client and Internal teams. Chinese language proficiency is a strongly recommended skillset.
• Strong understanding of KYC requirements and undertake client due diligence on existing clients to ensure identification of changes in risk profile, including reputational and operational risk factors
• Performing verification checks with external data sources and Screening tools to ensure that all documents submitted meet the defined Customer Identification Program and Internal AML policies
• Interacting with existing client accounts to handle any tasks arising from periodic reviews.
• Participate in testing of enhancements to client due diligence databases, systems.
• 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
• Identify and execute process improvements, provide guidance and support on key process and technology initiatives to the business. Promote ideas for process improvement and assist in their implementation.

Requirements

• Minimum 4 years of relevant experience in KYC/Client Onboarding functions and preferably within the banking industry.
• Value add skill in Mandarin language proficiency in basic reading, writing and speaking
• Good understanding of constitutional documents and corporate structures is required
• Working knowledge of periodic review for equity and FI products is required
• Knowledge of HK SFC / SG MAS AML regulations will be an advantage
• Attention to detail and process oriented
• Research/ Investigative skills
• Proficient in Word and Excel
• Strong attention to details, process oriented, time management, organizational, relationship building skills plus keen investigative skills.

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