Client Onboarding AD
Job Title: Associate Director
Department: Client Onboarding
About the Company
This opportunity is with a well-established financial institution known for its strong presence in the Asia-Pacific region and a commitment to delivering high-quality investment and financial services. The firm operates across multiple markets and offers a dynamic, collaborative environment that values integrity, innovation, and client-centric solutions.
Role Overview
The Associate Director in the Client Onboarding team plays a critical role in ensuring the smooth and compliant onboarding of clients and counterparties. This position requires a detail-oriented professional with a strong understanding of KYC and AML regulations, capable of managing complex documentation and due diligence processes while supporting operational efficiency and regulatory compliance.
Key Responsibilities
- Review and process account opening documentation, ensuring all Customer Due Diligence (CDD) requirements are met for both new and existing clients.
- Serve as a key point of contact for the Front Office, addressing queries related to onboarding procedures and documentation standards.
- Liaise directly with clients and counterparties to collect necessary documents, including those related to foreign portfolio investors.
- Coordinate with internal and external stakeholders to facilitate legal documentation such as GMRA and ISDA agreements, supporting structured finance transactions.
- Maintain accurate and up-to-date client information in internal systems, ensuring data integrity and compliance with internal policies.
- Conduct thorough reviews to verify accredited investor status and source of wealth, and perform regular assessments of existing accounts to identify and resolve compliance gaps.
- Monitor and report on business-related expenses, including credit card usage, and generate various compliance and operational reports.
- Perform ongoing screening and due diligence checks using industry-standard tools and open-source information.
- Support administrative functions such as signatory verification, system updates, and archival of closed accounts in accordance with policy.
- Collaborate with IT and operations teams to enhance onboarding systems and participate in user acceptance testing for new platforms or upgrades.
- Contribute to the maintenance of onboarding documentation, including manuals and application forms, and assist in managing insider trading lists and returned mail processes.
- Participate in ad hoc projects and initiatives to support continuous improvement and regulatory readiness.
Candidate Profile
- Bachelor's degree in Finance, Business Administration, or a related field.
- Minimum of 5 years of experience in KYC and AML within a corporate or investment banking environment.
- Strong knowledge of regulatory requirements and best practices in client onboarding and compliance.
- Excellent analytical skills and attention to detail, with the ability to manage multiple priorities in a fast-paced setting.
- Effective communication and interpersonal skills, with a collaborative approach to problem-solving.
FAQs
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