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Periodic Review Compliance Officer

2 weeks ago

Singapore Julius Baer Full time

At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let’s shape the future of wealth management together.

The Periodic Review Compliance (PR CO) is responsible for Compliance Singapore’s review and approval of all existing client relationships, portfolios and accounts booked in BJBS.

The PR CO supports both the BJBS Branch and the Julius Baer Trust Company (JBTC) in respect of BJBS-booked trust accounts.

**YOUR CHALLENGE**:
**People **Management**
- Support the CRO and Senior Management of BJBS Branch and JBTC in ensuring compliance with external and internal Regulations in the areas mentioned above and thus actively manage operational, regulatory and reputational risks.
- Part of the Periodic Review team of Compliance Officers supporting BJBS Branch.

**Client Management (internal & external)**
- Build strong relationships with key stakeholders such as the BJBS Front Office, ACM, KYC/AML Onboarding, AML Controls and Risk Management teams.
- Support Head of Singapore Compliance and the Head of Periodic Review in the management of Compliance’s review of existing client relationships, portfolios and accounts booked in BJBS, as well as the review of new/incremental KYC/CDD risk throughout the duration of the client relationship with BJBS.
- Working closely with overseas Relationship Managers (particularly, Hong Kong and Dubai) to provide inputs during periodic reviews.
- Assist in handling ad hoc legal and compliance issues relating to KYC/CDD, and supporting Compliance Singapore with respect to related enquiries from and handling inspection by regulators, auditors (internal and external) and Head Office
- Be the single point of contact/case manager for Front Office on periodic reviews, provide advisory support to Business with regards to resolving newly identified adverse news and assessing its materiality, identifying potential PEPs

**Business Management**
- Review client profile during periodic review to ensure conformity to internal and regulatory requirements on AML/CFT/CDD standards, producing client risk assessments and due diligence analysis with focus on High/Highest risk profiles
- Review and approve the periodic reviews of existing client relationships and accounts for Individuals, Domiciliary Companies, Legal Entities, Financial Institutions, Trusts, Fund, External Asset Managers, and e nsure compliance with the Bank’s policies and procedures, and with MAS 626 Notices and Guidelines, and to mitigate risks (legal, regulatory and/or reputational) for the Bank
- Review and assess the adequacy of the Source of Wealth (SOW) narrative and corroboration submitted by the Front for existing clients and ensure all SOW corroboration is aligned with information indicated in KYC system
- Review and assess the AML risk of higher-risk accounts, such as those with PEPs, significant adverse media and client’s involvement in Sensitive Industries.
- Perform independent review of client profiles for completeness of KYC information and due diligence
- Review name screenings and perform assessment on screening results (Google, World check, Factiva)
- Review client’s transactions for the period under PR review; ensure the transactional activities are aligned with client’s risk profile and flag out any suspicious transactions with regards to unknown 3rd parties
- Escalate newly identified risk indicators or unusual transaction patterns during course of reviews per internal policy
- Perform sampling review for Medium/Standard risk accounts
- Review and assess the risk of opaque legal structures
- Review relevant account changes such as signatories, Power of Attorneys, changes in the source of wealth
- Review and escalate Sanction true matches, as well as true matches for other AML/CFT risks identified during the Bank’s Name Screening and Periodic Review processes.
- Provide advice to Front employees and Operations on KYC/CDD- related matters
- Participate in projects, process improvement and discussions relating to KYC/CDD

**Supervisory Responsibilities**

Not applicable

**Regulatory Responsibilities &/OR Risk Management**
- Demonstration of appropriate values and behaviours including but not limited to standards on honesty and integrity, due care and diligence, fair dealing (treating customers fairly), management of conflicts of interest, competence and continuous development, adequate risk management, and compliance with applicable laws and regulations
- Ensure that KYC/CDD issues are properly identified, assessed and documented.
- Timely escalations where KYC/CDD measures cannot be completed, especially where suspicious activities /conduct is also noted.

**YOUR PROFILE**:
**Personal and Social**
- Strong Personality with good organisational skills
- Team Player. Prior team lead experience an advantage
- Ability to manage internal and external stakeholders
- Setting the ri