Client Services Manager - Operations

  • Competitive
  • Singapore
  • Permanent, Full time
  • Haitong International Securities (Singapore) Pte. Ltd.
  • 11 Feb 19

Approve account opening applications; Establish, review and implement Client Services policies and procedures

The Job:

Client Services

  • Approve Account Opening applications and KYC checks for Individual and Corporate Clients / Introducing Brokers; Review and ensure that all CDD information are obtained;
  • Review, formulate and implement Client Services policies (including AML policies);
  • Address queries from Compliance reviews, audit findings and SGX/MAS;
  • Liaise with internal stakeholders (business units, dealing, operations) and clients to ensure KYC/Account Opening documents are submitted;
  • Approve Client Account Review /Client Knowledge Assessment (CAR/CKA) for retail clients;
  • Conduct remediation/periodic reviews for existing accounts and ECDD for high risk customers;
  • Incorporate new policies into the Client Services Manual and customer forms;
  • Review FATCA/CRS self-certification information for regulatory reporting;
  • Maintain compliance with all corporate and regulatory standards (eg, SFA, AML/CFT, FATCA, CRS, etc);
  • Ensure that client are updated on regulatory changes;
  • Communicate with clients via telephone and email correspondence;
  • Attend to Clients’ complaints relating to Client Services matters;
  • Update statistics for monthly reporting;
  • Any Ad-hoc tasks from Operations Head.

Operations

  • Prior experience in Securities/ FX / Futures / OTC Derivatives operational role will be advantageous.
  • Candidate may be assigned operational duties depending on his/her experience.

Requirements:

  • Degree in any discipline with a minimum of 4 years of relevant work experience.
  • A good understanding of MAS’ regulations on AML/CFT, Sale of Investment Products (SIP/CAR/CKA), various MAS’ circulars relating to client information, FATCA/CRS regulations is a must.
  • Prior experience in processing Corporate Account application, operating World Check screening system (batch upload, resolution) is required.
  • A good understanding of financial statements.
  • AML Compliance / Operations background is preferred.
  • Proficient in MS Word (mail merge), MS Excel VBA & Vlookup, MS Powerpoint.
  • A goal-getter, independent, resourceful, shows initiative, analytical and good writing skills.
  • Good command of written and spoken English and Chinese, including Putonghua (in order to liaise with Chinese & Putonghua speaking associates)