Senior Associate, Client Services
3 weeks ago
About the role
CGS International Securities Pte. Ltd. (CGS International) is an award-winning and market leading integrated financial services provider, ranked among the top securities houses in Asia.
CGS International taps on our wealth of global and ASEAN insights to offer equities trading, leveraged products, wealth management, investment banking, equities research, Shariah-compliant financing, fixed income, currency and commodities, structured products and prime brokerage services in over 15 countries and regions.
Along with its parent organisation China Galaxy Securities, a leading securities house in China, CGS International is trusted by more than 15 million customers globally.
Job Responsibilities
- Responsible for onboarding of individual and corporate clients.
- Knowledge of documents needed for account opening.
- Conduct KYC reviews and client due diligence.
- Verify customer identity and documentation to ensure compliance with internal policies and external regulatory requirements.
- Screen clients and spot potential red flags, including adverse media and PEP status. Escalate to appropriate parties for consideration and clearance.
- Conduct risk assessments to ascertain the appropriate risk levels and be able to also apply a risk-based approach.
- Maintain close collaboration with Compliance and external stakeholders as necessary.
- Good understanding on how to establish the SOW/SOF of individuals, corporates, and beneficial owners.
- Advise on proof required to initiate the corroboration process and independently corroborate the declared net worth.
- Ensure adequacy of the assessments supported by documentary evidence.
- Ensure compliance with AML/CFT and KYC regulations.
Job Requirements
- Diploma/Degree in finance, Business, or a related field (preferred).
- 2-3 years' experience in client onboarding ideally from a stockbroking/bank setup and with relevant knowledge in AML/CFT.
- Specialized knowledge in the area of client onboarding, proficient in the use of screening tools and analysing the results.
- Critical thinking, able to think out of the box, apply a risk-based approach to challenging cases while remaining client centric.
- Resourceful and attention to detail.
- Capable of handling high volumes, possess a sense of urgency.
- Operate with integrity and a strong client-focused mindset while maintaining regulatory compliance.
- Has an analytical mind and able to provide sensible solution to issues faced by business.
Onboarding
Microsoft Office
Microsoft Excel
Due Diligence
Policy
Documentation
Securities
Business Risk Assessment
AML
Budgeting
KYC
Screening
account opening
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