Join our Quality Control team and support all aspects of Client Onboarding to include the fulfilment of Anti Money Laundering (AML) and Know Your Client (KYC) requirements for the Wealth Management division of the firm's Asset and Wealth Management (AWM) business. 

 

As a Quality Control Analyst within the Assets & Wealth Management (AWM) Operations team, you will ensure all client KYC records are compliant with regulatory standards, and ensure high quality and timely completion of due diligence requirements for new and renewing client relationships. You will make independent recommendations regarding AML risk and escalations, acting as the first line of defense. You will collaborate with compliance and control functions, participate in KYC/AML forums, and support regulatory audits. You will also contribute to team knowledge sharing and training initiatives.

 

Job Responsibilities

Review and analyze client KYC information to assess AML and reputation risk during onboarding and periodic reviewsValidate source of wealth corroboration in line with firm guidelinesAnalyze complex account opening situations to identify potential issuesReview client documentation to ensure compliance with regulatory requirementsCoordinate with compliance and control functions on regulatory audits, requests, and initiativesRepresent the team and participate in KYC/AML discussions, committees, and forumsShare information, knowledge, and expertise with peers and team membersConduct periodic training and awareness sessions for new hires and staff

 

Required Qualifications, Capabilities, and Skills 

Bachelor’s Degree in Business Administration, Finance, Accounting, or equivalentMinimum 1 year of experience in private banking risk management, audit, or compliance, with a focus on KYC/AMLBackground in internal or regulatory audit with KYC/AML specializationBroad knowledge of rules and regulations for Asia jurisdictions with a focus on KYC/AML Strong understanding of wealth management businessAbility to work in a fast-paced, multitasking environmentDetail-oriented with the ability to identify and analyze issues holistically and independentlyProven ability to handle escalations and drive resolutionsProficiency in written and verbal Mandarin as the role requires requires communications with stakeholders in China and interpretation of local documentations
 

Preferred Qualifications, Capabilities, and Skills 

Broad knowledge of rules and regulations for Asia jurisdictions, especially Hong Kong and Singapore, with a focus on KYC/AML