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- Compliance review of the CDD and client screening function, such as ensuring that CDD processes meet policy standards and working with the Compliance Manager and Chief Regulatory Officer to manage risk.
- Maintain CTX’s regulatory and compliance documents which include CTX’s KYC and AML, Listing and Trading rules, Conflicts of Interest and other policies and procedures to ensure they are up-to-date and comply with MAS and CTX requirements.
- Executing processes to review new and existing account documentation for completeness and validity.
- Ensure ongoing processes and controls is complete and accurate recordkeeping of all documentation and relevant communications with internal stakeholders, regulators and clients.
- Advise on, and escalate, higher risk relationships and reputation risks arising from CDD and customer screening.
- Partner with functional experts (i.e. Legal, Business, etc) to develop procedures, processes and controls.
- Provide full support on all regulatory and compliance matters, including periodic reporting to the Monetary Authority of Singapore.
- Diploma or bachelor’s degree in law, finance, business management or a related field.
- Excellent at building rapport with different client types through effective communication and interpersonal skills.
- Training will be provided to the suitable candidates. Prior experience in client onboarding and AML/CDD in a financial institution is a plus.
- Strong verbal, presentation and written communication skills. Fluency in both Chinese and English is required.
- Result focused, detailed-oriented, diligent and collaborative.