Compliance Executive

Job Description

• Act as first or second layer reviewer for all AML file reviews including the onboarding of new prospect clients, periodical reviews of existing clients, risk assessment, verification of name screening, and any other adhoc task, to ensure all KYC and CDD documents and information are up-to-date, and in accordance with SOPs.
• Review and evaluate high-risk clients including PEPs and OHR clients.
• Prepare or review risk assessments for new and existing clients, identifying points of concern and file Internal Suspicious Transaction Reports (“ISTR”) promptly when suspicions arise.
• Perform, review, and analyse name screening (World Check and Google searches) on clients and their counterparties, including ongoing screening, and elevate matches to the Compliance Team Lead or Compliance Officer when required.
• Liaise with Relationship Managers to request KYC documentation, provide first-level compliance support and advisory, and ensure documentation is properly organized and securely stored.

Record Keeping

Others

Requirement

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