Client Onboarding AML/KYC Operations, State Street Global Advisors, Officer Client Onboarding AML/KYC Operations, State Street  …

State Street Corporation
in Tokyo, Tokyo-to, Japan
Permanent, Full time
Last application, 25 Jul 21
State Street Corporation
in Tokyo, Tokyo-to, Japan
Permanent, Full time
Last application, 25 Jul 21
State Street Corporation
Client Onboarding AML/KYC Operations, State Street Global Advisors, Officer
Who we are looking for
The SSGA AML/KYC Officer is the AML/KYC contact for the business and is expected to be fully conversant in all operational processes, policies and procedures relating to AML and KYC. The SSGA AML officer will work as part of a team that has ongoing responsibility for the First Line of Defense for the SSGA Japan AML and KYC programs.

As the SSGA AML/KYC Officer for Japan, primarily you are accountable for ensuring timely KYC (Customer Identification Program/Customer Due Diligence/Enhanced Due Diligence) for new client as well as on-going KYC reviews. In addition, this role will assist to prepare client reporting based on the instruction from the management.

You will report directly to the Head of Investment Operations Japan.

You will interact with various key stakeholders including Client facing teams, Japan MLRO as well as APAC equivalents, BU AMLO, Compliance Risk Monitoring Team, Shared Services AML CoE, BU AML CoE and Boston Head Office AML team to ensure coordination and timely completion of KYC and periodic review processes.

Why this role is important to us
The team you will be joining is a part of State Street Global Advisors, one of the biggest asset managers in the world, that provides services to the world's governments, institutions and financial advisors across the globe. With over four decades of experience and trillions of dollars in assets under management, we offer one of the broadest selections of services across asset classes, risk profiles, regions and styles. As pioneers in index, ETF, and ESG investing, we are always inventing new ways to invest.
Join us if making your mark in the asset management industry from day one is a challenge you are up for.

What you will be responsible for
As Client Onboarding AML/KYC Operations, you will
  • Ensure the SSGA businesses in Japan is compliant with the State Street Global AML and Sanctions Policies, AML and Sanctions BU Standard Operating Procedures ("BU SOP") and the Global KYC matrix requirements.
  • Oversee that the KYC is timely completed for all SSGA Japan entities both before onboarding and at periodic reviews and event driven reviews by BU AML CoE supporting team.
  • Provide oversight of outsourced activities, ensuring services are delivered according to SLAs and act as the business escalation point for issues.
  • Perform transaction monitoring and detect any unusual or red flag activities.
  • Act as an escalation point for PEP, AML, Negative News and Sanctions screening hits and ensure timely feedback for request for information (RFIs) raised by centralized screening teams. Ensure Unusual Activity Reports are completed and work with FIU on Suspicious Activity Reports as required to ensure timely reporting of UARs as per BU SOP.
  • Review and update the Standard Operations Procedures of the Business Unit on an annual basis, and as required based on the Global AML toolkit releases
  • Provide any BU AML / KYC metrics required for reporting (BU LE metrics, AMLOC metrics, Periodic reviews forecast, etc.)
  • Review and understanding of new business products/opportunities and the inherent risks involved.
  • Act as an escalation point for any business KYC/AML queries.
  • Build strong partnership with our key stakeholders including BUAMLO, MLROs, client facing teams, key business partners.
  • Participate as required to regional committee (APAC AMLOC) and ongoing Global AML working groups and Global trainings.
  • Coordinate request from Compliance and Audit and provide required information on a timely manner.
  • Supporting client repor t

What we value
These skills will help you succeed in this role
  • Team player and self-motivated professional with the ability to work under pressure and manage multiple priorities while maintaining attention to detail
  • Strong English language skills, both written and verbal
  • Strong communications and organizational skills
  • Strong project management skills
  • Strong analytical and problem-solving skills
  • Strong computer skills including knowledge of word processing, spreadsheet and database application
  • Business level Japanese language skill (write/speak) are plus.

Education & Preferred Qualifications
  • University degree required
  • 5+ years financial services experience including KYC/AML experience
  • Broad based experience focused on risk management, or audit experience preferred

About State Street
What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation we're making our mark on the financial services industry. For more than two centuries, we've been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.
Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary in locations, but you may expect generous medical care, insurance and savings plans among other perks. You'll have access to flexible Work Program to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.
Inclusion, Diversity and Social Responsibility. We truly believe our employees' diverse backgrounds, experiences and perspective are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome the candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift program and access to employee networks that help you stay connected to what matters to you.
State Street is an equal opportunity and affirmative action employer. Discover more at
Company Overview

From technology and product innovation to corporate responsibility and community development, we're making our mark on the financial services industry. For more than two centuries, we've been helping our clients safeguard and steward the investments of millions of people - strengthening markets, building communities and creating opportunities for growth.

We owe that longevity to the commitment, expertise and creativity of our employees. Our continued success depends on our ability to attract and develop the best talent in the industry. That's why we're keenly focused on employee development, corporate citizenship and inclusion.

For us, success comes in the mark we make as an organization - for the industry, our clients, our communities and each other.

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