Operations - Wealth Management - KYC Associate
3 weeks ago
In . Morgan, the Wholesale KYC Operations (WKO) team plays a critical role in ensuring that as an organization, we are compliant with multiple regulations, in order to protect the bank’s reputation and financial assets.
As the KYC Associate, you will own the end to end KYC activity, managing profiles to completion and with high quality, by partnering partner with the client-facing teams to ensure all client records are compliant with Anti- Money Laundering (AML) and Know Your Client (KYC) regulatory standards in a timely fashion. The KYC team works closely with Bankers/Banking Team, Line of Business (LOB) Operations, and Compliance, managing the relationship to drive timely client response and feedback. You will review the collection and verification of data performed to ensure all KYC records are accurate and complete prior to a final review by the client-facing team. You are expected to stay current with all regulatory changes and requirements around client KYC, Suitability and Documentation.
Job Responsibilities
Primary interface to stakeholders (Compliance, Quality Control, Banker/Banking Team, LOB Operations, etc), which requires the highest standards of customer service in order to provide clear transparent communication (articulating requirements, time commitments, challenges, facilitating issues/queries, and eliminate roadblocks). Conduct in-depth reviews of the client profile and comprehend/analyze the AML-KYC risks. Succinctly articulate gaps requiring Banker/Client resolution and escalate potential risks/issues. Document and update the client KYC record with high quality, meeting timelines in advance of due date Work with the Team Lead to identify improvement, provide SME/technical support across own/broader team Act as a role model to drive high quality output. Provide guidance/training to team members to foster an environment of continuous improvement and high performance. Understand the firm’s KYC requirements inclusive of Customer Identification Program (CIP), Enhanced Due Diligence (EDD), Local Due Diligence (LDD), Specialized Due Diligence (SpDD) and Product Due Diligence requirements (PDD) Keep informed of changes to processes, procedures, and regulatory updates; and utilize the information to contribute ideas and participate in efforts to enhance service delivery and improve operating model/systems Make decisions that are effective and well-grounded based on guidelines, policies, and insightsRequired qualifications, capabilities, and skills:
Bachelor’s Degree in Finance, Economics or other related disciplines At least 4 years of KYC or related experience, with strong understanding of KYC, AML and regulatory requirements (. Hong Kong Monetary Authority (HKMA) and Monetary Authority of Singapore (MAS)) Candidate must have experience covering either Corporate, Banks, Trusts, Funds, NBFIs, NOAHs, Regulated Pension clients Must be able to work independently and as a team, to contribute effectively under fast-paced environment with strong sense of ownership and responsibility. Outstanding client management, partnership building, leadership and direct experience of dealing with multiple stakeholders, with the ability to handles escalations and drive to resolutions. Strong research, analytical and comprehension skills, with ability to critically analyze client risk / controls. Ability to quickly grasp/learn concepts, procedures and use it to identify & drive improvements in process/systemsPreferred qualifications, capabilities, and skills:
KYC experience within the Wealth Management sector Fluency in written/spoken Mandarin-
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