Compliance Associate (Entry Level) #ESY

Requirements

• Diploma/Degree in Banking and Finance, or similar
• Knowledge on regulatory requirements/guidelines and KYC procedures and corroboration of SOW/SOF for high-net-worth clients will be an advantage
• Interested candidates, please email your resume to annasee@recruitexpress.com.sg
• Anna See Sing Yee
• CEI Reg R25157535
• Recruit Express Pte Ltd
• EA License No: 99C4599
• We regret that only shortlisted candidates will be contacted

Additional Information

- Responsible in managing, processing and reviewing the KYC information and documents for client on-boarding or periodic review - Follow thoroughly the CDD and KYC review with relevant parties e.g. external and internal stakeholders to facilitate the collection of KYC and relevant documents including tax information/documents and ensuring clients are onboarded or account information are refreshed/updated in accordance with the company's AML/KYC standards - Perform AML Risk Assessment on both account opening and periodic reviews of existing relationships. This includes reviewing the adequacy of SOW/SOF corroboration and identifying any AML risk - Adhering to Company's Standard Operating Procedures and keep abreast of changes to any regulatory requirements on AML/CFT and identify risk mitigates - Ensuring established policies, procedures and processes are compliant with new requirements/changes and consistency of workflows amongst team members - Participate in quality assurance processes for completed KYC profiles, ensuring all activities are documented and completed within designated deadlines. - Assist with various ad-hoc regulatory-driven projects, process improvement initiatives, and general administrative/operational tasks as required by management.

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