Name Screen & Tran Mon Senior Analyst

Key Responsibilities :

Conducting Customer Due Diligence (CDD) assessments on clients, in line with prevailing standards, including ensuring required documentation is obtained, assessing client’s source of funds / source of wealth and relevant risks, conducting sanction / PEP and adverse media screening.

Compiling transaction assessments on analyzing client’s behavior and expected transaction profile.

Assisting RM in collection of information and documents during the execution of the CDD process, which would include outreaching to clients directly for the CDD information.

Update and maintain all relevant client information into client database with accurately and timely.

Handling FATCA / CRS related documentation, recording the information into Client Database System and generating FATCA / CRS reporting requirements.

Perform four-eye checks (quality control) on the CDD files and assessment completed by colleagues prior to sign-off by RM

Updating of policy and procedural manuals to be in line with the latest development in AML / CDD measures

Work closely with Compliance regarding risk related matters to ensure that changes, if any, can be properly implemented and in a timely way.

Attend to audit / regulatory inspection queries and ensure adequate and timely closure of audit / regulatory inspection points.

Train any junior members and newly onboarded staff in Greater China

Liaise with KYC Team in other regions on related matter including CDD review, remediation, various projects and policy and procedure updates (if any)

Act as one of the SMEs for the team and be involved in discussion with Compliance and other stakeholders

Drive the discussion with stakeholders on complex CDD issues and / or provide inputs on ad-hoc projects

Handling general administrative and BAU duties and any ad-hoc assignment as per management request

Assisting manager to prepare MI report to senior management and / or regulator