JOB PURPOSE

• Provide support to the Head, Client Onboarding Head, Middle Office in assisting the Front Office to fulfil its KYC obligations
• Activity covers all business lines
• Primary scope of activity will relate to the KYC function, including

a) Coordinating and performing customer onboarding and periodic reviews;

b) Assisting RMs to raise and maintain the quality of their KYC profiling;

c) Handling of potential name hits during client onboarding, KYC refresh and delta update;

d) Regular or ad hoc reporting and escalation of KYC MI or emerging issues; and

e) Handling ad hoc remediation projects

• Other activities will be delegated by the Head, Client Onboarding, as needs arise. These may include updating policies or development of improvements to Client Onboarding related operating procedures.

KEY ACCOUNTABILITIES & OUTCOMES

• Ensure completeness of customer documentation for corporate, institutional and individual customers
• Contacting customers where required to obtain missing or updated documentation
• Providing periodic management information in the Bank’s prescribed format
• Preparing submissions on issues or suspicions for escalation as required to FCC
• To participate in CDD related projects, e.g. design, testing and implementation of KYC system and procedures
• Provide support to Relationship Managers in the writing up of customer profiles
• Ensure profiles are produced to a uniformly high standard for submission to Financial Crime Compliance for approval
• Perform namelist and sanctions screening
• Check Politically Exposed Person and Customer AML/CFT Risk Assessments for consistency of data and accuracy of assessment
• Conduct risk-based monitoring of existing customers for negative news
• Conduct or coordinate investigations into negative news reports
• Provide or assist with training and coaching to the Front Office, as required
• Liaise between first and second lines to resolve differences in understanding and interpretation of judgmental issues, escalating as necessary

• Degree holder
• Minimum one year dedicated experience in a KYC/AML capacity in an Authorised Institution
• Thorough familiarity with China's AML/CTF legislation and regulatory requirements
• Good interpersonal skills
• Good communication skills in written and spoken English and Chinese

上班地址：陆家嘴环路333号金砖大厦6楼03-04室