Job offer

**Compliance Specialist**

The Compliance Specialist supports the team in screening client accounts for compliance with regulatory requirements and internal policies, particularly in the area of AML/CFT/CDD. The main tasks include performing name checks, evaluating screening results and ensuring data quality.

Job description

Tasks

  • Retrieve relevant key parties for the relevant periodic review period to ensure compliance with internal and regulatory requirements for AML/CFT/CDD standards
  • Review name screenings and evaluate screening results (Google, World Check, Factiva, Ripjar, etc.); exclude false positives and highlight/escort newly identified potential or actual hits that could affect the clients' overall risk profile
  • Support in checking the quality of the work carried out by a separate maker
  • Training on the requirements for name screenings
  • Assist in managing onshore staff to ensure KPIs are met; organize and assign tasks to staff to ensure effective workflow and accountability
  • Timely escalation to team leaders and respective stakeholders
  • Accurately enter and maintain quality data in systems, Excel spreadsheets and assist with MI reports to key stakeholders

Client management (internal & external)

  • Point of contact for stakeholders (team members, front office, audit and external providers, etc.), providing guidance and advisory support for screening related requests
  • Collaborate with cross-functional teams, including regulatory and governance teams, to improve screening processes/controls and mitigate risks; participate and contribute to ad hoc activities as required

Requirements

Technical requirements

  • At least 1 year of experience in name screening, preferably in private banking or wealth management
  • A good study and understanding of the private banking and wealth management industry
  • Experience in management roles is an advantage
  • Familiarity with MAS 626 and name screening requirements is an advantage
  • Ability to read traditional and simplified Chinese for Mandarin name verification is an advantage
  • Language skills in other languages are also an advantage for name screening purposes
  • Basic knowledge of Excel

Personal requirements

  • Ability to work independently with an eye for detail
  • Ability to complete several tasks simultaneously
  • Good interpersonal skills
  • Team player

We offer

No explicit benefits mentioned.

Job details

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