Client Services Manager - Operations
- 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
- 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.
- Prior experience in Securities/ FX / Futures / OTC Derivatives operational role will be advantageous.
- Candidate may be assigned operational duties depending on his/her experience.
- 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)