Senior Executive/Executive, Middle Office Operations

Job Description

The Senior Executive, Middle Office Operations is responsible for the end-to-end review and processing of Wealth Management client onboarding, documentation review & validation, name screening, periodic reviews and event-triggered reviews.

• Perform end-to-end review and processing of client onboarding, account opening, account maintenance and related client servicing requests.
• Review cases involving both individual and non-individual clients.
• Verify the completeness, consistency and validity of account-opening forms, supporting documents, approvals and system information.
• Identify documentation gaps, inconsistencies or exceptions and follow up with the relevant stakeholders for clarification or rectification.
• Ensure that requests are processed accurately and within the applicable service standards.

• Perform end-to-end review and processing of client onboarding, account opening, account maintenance and related client servicing requests.
• Review cases involving both individual and non-individual clients.
• Verify the completeness, consistency and validity of account-opening forms, supporting documents, approvals and system information.
• Identify documentation gaps, inconsistencies or exceptions and follow up with the relevant stakeholders for clarification or rectification.
• Ensure that requests are processed accurately and within the applicable service standards.

Job Responsibilities

• Client Onboarding - Check and review client onboarding documents and ensure it is complete and in accordance with the bank’s standard requirements for account opening.
• Periodic Review - Perform screening/searches and ensure accuracy and completeness as per the list provided by Front Office.
• Periodic Review - Ensure PR documents are complete and in order as per the checklist.
• Check and verify client static data update and ensure it is processed on time.
• Record, monitor and follow-up of outstanding onboarding/PR documents. Timely escalation of overdue documents.
• Generate report and timely reporting and escalation of any breach or overdue account.
• Perform post-trade review. Ensure accuracy and timely reporting and escalation to management/ stakeholders.
• Attend to auditors’ queries and requests
• Check and ensure regular health check of the voice recorder
• Check and ensure all breaks are identified and reported to the respective processing teams.
• Act as alternate to the BRCO. Assist in RCSA, operational risk reporting and in BCP documentation update.
• Timely reporting of any risk incident

Job Skills

• Operati

Job Requirements

• Independently manage routine and complex cases with minimal supervision.
• Apply relevant policies and procedures to actual client circumstances rather than relying solely on checklists.
• Recognise material KYC, documentation, operational and control risks.
• Challenge incomplete or unsupported information professionally.
• Provide practical guidance to stakeholders without assuming the approval responsibilities of Compliance, BCCO or other control functions.
• Manage multiple priorities and follow through on outstanding matters.
• Escalate significant issues promptly and with a clear explanation of the risk.
• Support junior team members and contribute to overall team capability.
• Participate actively in operational improvements, UAT and control-enhancement initiatives.
• Maintain high standards of accuracy, professionalism, confidentiality and ownership.