Compliance Manager AVP

  • competitive
  • Singapore Singapore Singapore SG
  • Permanent, Full time
  • Huxley APAC , EA Licence No: 09C5506
  • 10 May 18 2018-05-10

As a member in the client onboarding team, the incumbent will be reviewing client due diligence ("CDD") information, screening of prospective clients names against blacklisted database for client acceptance purposes and performing periodic review of the CDD information. He/she will also be assisting in preparing KYC reporting for Management and liaise with senior management and stakeholders.

Main Responsibilities

  • Responsible for all Compliance issues relating to client, BI and onboarding including but not limited to review of processes.
  • Tracking and maintaining records of the status of each account opening.
  • Assist in regulatory reporting and HO reporting, where required.
  • Responsible for Compliance periodic review of clients (HRC, Standard Risk, PEP).
  • Responsible for monitoring, review for staff compliance with Code of Conduct, conflict of interest issues.
  • Responsible for NCM, FATCA issues.
  • Assist in AML transaction monitoring and / or investigation works undertaken by Compliance.
  • To provide leave cover for other team members, as required.
  • Any other tasks as assigned by Head of Compliance or Deputy Head of Compliance.Note:

Requirements

  • Minimum Diploma Holder
  • 6-10 years of experience in private banking compliance environment
  • Experience in using Worldcheck, Lexis Nexis, Google
  • Good experience in reviewing client due diligence information such as source of wealth, the prospect's economic background, perform searches on the prospect to see if there is any negative news prior to account opening.
  • Good analytical and problem-solving skills
  • Read and good understanding of Mandarin.
  • Team player and able to work independently under tight deadline pressure

Huxley, a trading division of SThree Pte Limited (Registration Number: 200720126E | SThree Pte Limited Licence Number 16S8216 | Huxley Licence Number 53132076J)

Award winner of:

International Recruitment Company of the Year by Recruitment International 2016

Best Client Services by Asia Recruitment Awards 2017

Best Overseas Operation by Global Recruiters 2017

Highly Commended for Best Large Recruitment Business 2017