To diligently carry out the account recertification and account opening process and ensure accounts are compliant, especially on issues of money laundering, adverse media, sanctions, via the due diligence review and transaction monitoring processes; and to flag out and alert managers as and when suspicious activities are found.
To work independently on assigned tasks with minimal supervision.
To identify issues during the review process and communicate effectively to Front Office in an efficient manner.
To assist and actively take part in the Client Acceptance Committee by performing compliance risk analysis, providing mitigating solutions and presenting to the committee members for deliberation.
To proactively identify potential gaps in our current processes/policies against regulatory requirements and bring up to management immediate attention.
To keep abreast of new regulations and to update management and colleagues on impact of changes.
To recommend ways to improve efficiency on the current review process.
To lead ad hoc projects, in particular, projects related to procedures development, process improvements, and control & system enhancements.
To prepare training materials and provide live trainings to Front Office on KYC-related matters and promote compliance awareness and culture.
To investigate, analyse, prepare memo, and ensure required protocol is followed through for STR-related cases.
To assist with review and comment on proposed new policies.
To assist with internal audits, regulatory inspection, and investigation.
To work with Home Office Compliance on derogations and other policies-related matters.
To identify and control compliance risks, implementing monitoring measures where required.
To assist in preparing relevant compliance reports pertaining to Wealth Management for submission to Head Office and ensuring accomplishment of the Department’s mission.
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