Senior Officer, Customer Due Diligence
1 week ago
**About UOB**:
United Overseas Bank Limited (UOB) is a leading bank in Asia with a global network of more than 500 branches and offices in 19 countries and territories in Asia Pacific, Europe and North America. In Asia, we operate through our head office in Singapore and banking subsidiaries in China, Indonesia, Malaysia and Thailand, as well as branches and offices.
Our history spans more than 80 years. Over this time, we have been guided by our values — Honorable, Enterprising, United and Committed. This means we always strive to do what is right, build for the future, work as one team and pursue long-term success. It is how we work, consistently, be it towards the company, our colleagues or our customers.
**About the Department**:
The Credit and Risk Management function is comprised of three teams: Risk Management, Credit and Special Asset Management. We manage the risks arising from the Group’s business activities within the risk appetite established by the Board. This involves identifying and evaluating the risks, developing effective risk governance and strategies as well as providing independent assessment of the overall risk profile.
**Responsibilities**:
- Conduct quality checks and facilitate opening of investment account by ensuring completeness of CDD information and account opening documentation.
- Assist front office on queries pertaining to account opening, account review and other ad-hoc queries.
- Liaise directly with Relationship Managers from cross-segments for documentation verification purposes or to obtain other information and confirmation prior to the implementation of investment accounts.
- Perform name screening and searches on client’s name, associated parties against sanction and available AML List for counterparty creations, including clearing of alerts in AML system
- Perform account maintenance into the Bank’s central system including department’s registers.
- Provide documentation support to Global Market Sales on the implementation of new investment initiatives
- Review post trade monitoring of investment & OTCD products and highlight any non-conformance.
- Manage monthly investor status broadcast to front office and RM and other reporting to Compliance.
- Review and maintenance of operational procedures relating to GM Sales Investment account opening.
- Create and maintain Broker accounts and investor suitability status
- Ad hoc projects relating to Investment and OTCD products documentation and regulations
- Perform Remediation on documentation
**Job Requirements**:
- Preferably Degree from a recognized tertiary institution, with knowledge on AML and CDD would be an added advantage.
- Good team player with good organisation skills and attention to details.
**Be a part of UOB Family**:
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