Onboarding Associate/Manager
5 days ago
KGI Securities is a leading multi asset brokerage firm with a strong presence across several countries in Asia.
We hold a Capital Markets Services License, are regulated by the Monetary Authority of Singapore (MAS), and are committed to being an equal opportunity employer.
About the Job
This role will be responsible for reviewing account openings for both individuals and entities, conducting periodic Customer Due Diligence (CDD) reviews, and ensuring overall compliance with procedural standards. The successful candidate will also be responsible for performing screenings, including Sanctions, Politically Exposed Person (PEP), and adverse media/negative news screening, as well as background screening of counterparties and employees.
Responsibilities:
- Review account openings for both individuals and entities
- Conduct periodic CDD reviews and ensure overall compliance with procedural standards
- Perform screenings, including Sanctions, PEP, and adverse media/negative news screening
- Perform background screening of counterparties and employees
- Advise and coordinate with front office on CDD requirements
- Assist in maintenance of database for annual FATCA and CRS reporting
- Perform continuous review and improvement of the onboarding workflow and process
- Responsible for Operations Account Management systems' projects, enhancement, and automation
- Assist in retrieval of signature via shared drive and provide support to other teams
- Submit invoices and prepare Letters of Offer and Closure
- Any other ad-hoc duties assigned, including monthly/quarterly reporting
Requirements:
- Bachelor's degree in Banking/Finance/Business Management and certification in ACAMS or ICA
- Preferably 3 years of working experience in Securities/Private Banking firms
- Minimally 3-5 years of experience in Corporate CDD/AML, preferably with relevant experience in reviewing complex trust structures and complex fund investments
- Able to work independently in a fast-paced and challenging environment
- Able to work under pressure and multitask
- Strong communication, interpersonal, and problem-solving skills
- Strong willingness to learn, collaborate, and contribute to team efforts
- Proficiency in MS Excel, including vlookup
- Preferably proficient in Chinese language to liaise with Chinese-speaking clients
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