Client Services Senior Officer Client Services Senior Officer …

Haitong International Securities (Singapore) Pte. Ltd.
in Singapore, Singapore, Singapore
Permanent, Full time
Be the first to apply
Competitive
Haitong International Securities (Singapore) Pte. Ltd.
in Singapore, Singapore, Singapore
Permanent, Full time
Be the first to apply
Competitive
Process KYC and Account Opening applications for Corporate/Individual/Funds/Trust Customers; conduct periodic reviews and remediation on customers; implement new polices; address Compliance and Audit findings.

The Job:

  • Process KYC and Account Opening application for Individual/Corporate/Funds/Trust customers; Review and ensure that CDD information are obtained;
  • Liaise with internal stakeholders (Business units, Dealing, Operations) and clients to ensure KYC/Account Opening documents are submitted;
  • Conduct Client Account Review /Client Knowledge Assessment (CAR/CKA) for retail clients;
  • Account creation with CDP via back office system. Liaise with CDP on various account related forms.
  • Conduct remediation and periodic reviews for existing accounts;
  • Conduct ECDD for high risk customers;
  • Implement new Client Services policies jointly with Compliance;
  • Address Compliance reviews and Audit findings;
  • Review FATCA/CRS self-certification forms;
  • Maintain compliance with all corporate and regulatory standards (eg, SFA, AML/CFT, FATCA, CRS, etc);
  • Communicate with clients via telephone and email correspondence;
  • Update statistics for monthly reporting;
  • Any Ad-hoc tasks from Client Services/Operations Head.

Requirements:

  • Degree in Finance/Accounting/Economics with a minimum of 3 years of client onboarding 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.
  • Prior experience in processing Corporate Account application, operating World Check screening system (batch upload and resolution) and Bloomberg data download is required.
  • Hands on experience in account creation with CDP via back office system.
  • A good understanding of financial statements.
  • AML Compliance 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)
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