Assist to prepare and review the Company’s customer due diligence documents eg Customer Due Diligence (CDD) forms.
Validate information obtained from clients through a combination of research as well as internal and external databases.
Assist to conduct research, review and update the AML/CFT policy to reflect the current trends/regulations.
Conduct internal compliance monitoring and quality assurance to ensure KYC procedures are properly implemented and in line with the Company’s AML Policy.
Work closely with respective Regional Compliance Officer (Malaysia, Singapore and Hong Kong) on the completion of the evaluation of the customer risk rating based on criteria established by the Company.
Investigate possible matches generated from the screening against sanctions, PEP and adverse news media and escalate to Compliance.
Liaise with Business Units for client information pertaining to KYC reviews and ensuring all queries are dealt with in a timely manner.
Provide overall support to Compliance function and assist with any ad hoc tasks as required by your superior and/or management.
Any other tasks/project assigned by your superior and management
Requirements
Bachelor’s degree in Business, Finance, Law, Accounting, or a related field.
Minimum 2 years of experience in compliance preferably within a professional services firm or similar environment.
Excellent attention to detail and analytical skills to assess and resolve compliance issues.
Strong verbal and written communication skills.
Proficiency in Chinese language is a plus.
Ability to work independently and as part of a team to achieve objectives.
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