• Competitive
  • Hong Kong
  • Permanent, Full time
  • Moody's
  • 2018-08-15

Associate-Sales Operations (KYC / CDD) - 4 months Contract

Location: Hong Kong

The primary responsibility of this role is to complete Customer Due Diligence reviews on APAC customers while adhering to Know Your Customer and Anti-Money Laundering standards. The position is based in Hong Kong and under the supervision of the VP Commercial Operations.

Scope:
  • Perform Anti-Money Laundering (AML) and Customer Due Diligence (CDD) checks on new and existing relationships to the firm
  • Conduct customer risk assessment; support customer onboarding, periodic review and remediation work in full compliance with MIS policies and operational procedures as well as external regulatory requirements
  • Engage existing and new customers in the collection of detailed customer information and supporting documentation required for the completion of CDD
  • Provide support to Sales teams to improve the customer experience
  • Investigate, escalate and resolve World-Check monitoring alerts and queries
  • Ensure completeness of CDD information and supporting documentation before submitting the case to Relationship Managers for review
  • Work with Legal and Compliance to review documentation requirements and address exceptions to complete the CDD reviews
  • Update propriety systems with information and documentation obtained
  • Apply logical thinking, factual analysis and self-discovered research to substantiate an opinion as part of case work
  • Produce regular AML MIS reports for internal stakeholders and senior management
  • Identify, recommend and work on implementation of opportunities to improve the MIS commercial processes and Salesforce data quality
  • 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
  • Build and maintain excellent relationships with various internal stakeholders including Relationship Management, Legal and Compliance
  • Perform ad hoc tasks as assigned


(RMO) Commercial Group

Qualifications:
  • Good knowledge of capital markets and countries within APAC region
  • Well-developed IT skills including advanced Microsoft Office applications, PowerPoint and Advanced Excel
  • Excellent attention to detail
  • Strong research/investigative skills
  • Experienced problem-solver, with proven ability to be presented with issues/problems and be able to suggest solutions and ensure problems are resolved
  • Strong written and verbal communication skills
  • Ability to understand ratings, legal and compliance matters
  • Ability to develop negotiation skills
  • Ability to work under tight deadlines
  • Good interpersonal skills and the ability to build strong professional relationships at all levels
  • Highly organized and efficient, with ability to multi-task
  • Ability to report and work in multi-cultural team spread in various locations
  • Ability to work on own initiative, without the need for close supervision
  • Team player

Academic Qualifications / Work Experience
  • Minimum of Undergraduate / First Level degree preferably in finance, accounting, business or economics
  • Relevant work experience in finance services industry is advantageous
  • Experience in AML customer due diligence preferred
  • Knowledge of AML regulations in APAC region preferred
  • Strong verbal and written communication skills in English
  • Fluency in Asian language (such as Cantonese, Mandarin) is advantageous


Moody's is an essential component of the global capital markets, providing credit ratings, research, tools and analysis that contribute to transparent and integrated financial markets. Moody's Corporation (NYSE: MCO) is the parent company of Moody's Investors Service, which provides credit ratings and research covering debt instruments and securities, and Moody's Analytics, which offers leading-edge software, advisory services and research for credit and economic analysis and financial risk management. The Corporation, which reported revenue of $4.2 billion in 2017, employs approximately 11,900 people worldwide and maintains a presence in 41 countries. Further information is available at www.moodys.com.

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 or any other characteristic protected by law.

Candidates for Moody's Corporation may be asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading and the requirements of the position. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.

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