Associate, Aml/cft Apac

Role summary:
This role is responsible for internal and customer facing support related to MIS AML/CTF program and controls function in APAC that ensures MIS meets both its United States regulatory obligations and its AML/CTF country regulatory obligations. Under the supervision of the AVP, Commercial Customer Screening, AML/CFT, this role works with internal functions to perform customer due diligence and participate in projects focused on regulatory compliance and process improvement.

Key Accountabilities:

- Perform Anti-Money Laundering (AML) and Know Your Customer due diligence (CDD) on new and existing relationships to the firm
- Conduct customer risk assessment; support customer onboarding and periodic reviews in full compliance with MIS policies and operational procedures as well as external regulatory requirements
- Perform independent checker role to ensure high quality standards are maintained in strict adherence with MIS policies and procedures
- Engage existing and new customers in the collection of detailed customer information and supporting documentation required for the completion of CDD
- Investigate, escalate and resolve name screening monitoring alerts and queries
- Ensure completeness of CDD information and supporting documentation
- Perform enhanced protocols for high risk cases
- Perform data quality assurance checks on case work and name screening
- Work with Legal and Compliance to review documentation requirements and address exceptions to complete the CDD reviews
- Update KYC and internal systems with information and documentation obtained
- Perform AML internal controls and escalations
- Produce regular AML MIS reports for internal stakeholders and senior management
- Perform system testing and work with IT to enhance reporting
- Assist to implement new regulatory and process improvement changes
- Update team procedures and guidelines
- Support internal audits, external exams and Compliance testing and related data requests
- Work with the different levels of the Commercial Group, Legal and Compliance to ensure end to end efficiency and effectiveness in the Know Your Customer activities
- Provide support to the Sales teams that improves the customer experience and ensures the Sales teams are able to focus on the relevant customer-related activities
- Monitor mandates beginning at handover through to billing, provide customer support that improves the customer experience and ensures the Sales teams are able to focus on relevant customer related activities
- Build and maintain excellent relationships within various internal stakeholders, including Relationship Management, Legal, Compliance, Pricing, GMO, Billing and Collections
- Perform or participate in ad hoc tasks and projects as assigned
- Bachelor’s degree, preferably in Business Management, Finance or Accounting
- 1-3 years of relevant experience in an established financial institution with a focus on AML/CFT (including negative media and PEP screening)
- In-depth knowledge on banking operations procedures, risk management as well as regulatory compliance standards
- Sound knowledge of AML regulations across HK or SG (additional jurisdictions preferred)
- Able to communicate effectively, clearly and concisely at all levels both internally and externally. Strong oral and written communication skills in English
- Excellent interpersonal and influencing skills along with commercial acumen required for rapport building with customers and internal staff
- Strong execution skills, to plan, organize and drive through results under conflicting priorities and pressures
- Must be a self-starter, pro-active, organized, with a keen eye on details and have the ability to work independently at a local, regional and global level
- Highly motivated, intuitive and possess initiative to identify potential process improvements
- An analytical mind with attention to detail
- Fluency in Asian languages (such as Cantonese, Mandarin, Korean and Japanese or Portuguese advantageous)
- Strong MS Excel and PowerPoint skills

Commercial Customer Screening

Moody’s is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected veteran status, sexual orientation, gender expression, gender identity or any other characteristic protected by law.

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