COMPLIANCE EXEC

 Conduct regular reviews and due diligence, to ensure that the Financial Adviser Representatives and new
candidates meet the stipulated competency and compliance standards.
 Review AML/CFT screening alerts and perform enhanced CDD on high-risk customers
 Maintain and update internal watch-lists in AML/CFT screening system
 Assist in the implementation of new regulatory developments
 Execute compliance audits and reviews on sales conduct of representatives
 Undertake additional duties and projects as and when required
 Carry out Balanced Scorecard and Compliance audits

Requirements:

 Degree with 1-2 years’ experience in a similar or related role (however, will consider graduates;
Polytechnic graduates will be considered too)
 Familiar with the regulatory requirements will be advantageous
 Strong interpersonal, communication and analytical skills
 Independent and fast learner

AML ANALYST

 You will be the AML KYC Analyst for the APAC business.
 Ensure the firm adheres to onboarding and ongoing requirement on onboarding and ongoing review.
 Review and screen crucial documents to ensure credibility and accuracy of these documents in line with the
firm's AML Policy and procedures.
 Attend to AML and KYC related queries such as KYC documentations and requirements.
 Conduct all name searches process such as on customers, connected parties and beneficial owners.
 Identifying gaps by reviewing documentations and accessing publicly available information.
 Discuss and escalate, to AML Manager complex issues on client types, structures and AML- related risk
level, monitoring cycle and high tax risk criteria, etc.
 Complete and file CDD and Customer Risk Assessment Forms.
 Manage the company customer risk assessments, and perform periodic reviews on customers.
 Involved in AML initiative and projects such as transaction monitoring or when there is new AML/CFT
regulations.

CLIENT ONBOARDING (CDD)

 Ensure due diligence is performed on existing clients to comply with AML/KYC regulations
 Develop expertise in the Firm’s Anti Money Laundering/Customer Identification due diligence policies and
process
 Engage clients and internal business teams to obtain relevant AML information and documentation
 Ensuring all communications are of the highest professional standard to maintain client service excellence
 Timely and effective escalation of potential relationship issues and devising possible resolutions
 Take responsibility for delivering against committed timelines
 Participate in regular meetings with the program team to maintain clarity around workflow, understand
changes to AML/KYC regulations and develop required reporting metrics
AML EXEC

 Provide timely and accurate AML/CFT compliance advisory to the relevant stakeholders to ensure that the
company complies with applicable rules and regulations
 Keep abreast of AML/CFT regulatory changes and provide timely dissemination of regulatory updates to
ensure that the business units and relevant departments are aware of the latest rules and regulations
 Implement and maintain robust framework for AML/CFT compliance reviews to assess the implementation
of applicable rules and regulations
 Devise and maintain AML/CFT training materials and conduct regular trainings to all staff
 Undertake additional functions and duties when required