Assist Compliance to prepare and review the Company’s internal customer due diligence documents eg Customer Due Diligence (CDD) forms.
Validating information obtained from clients through a combination of research as well as internal and external databases.
Assist Compliance 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.
Investigating 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.
Minimum of 1 year experience in Corporate Secretarial field.
Master’s or Bachelor’s degree graduate in Corporate Administration / Corporate Governance, or related field.
ICSA / CGI certification is a plus.
Good knowledge of Listing Requirements, Companies Act, Capital Market and Securities Act, procedures and guidelines.
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