A Leading American Investment Bank is seeking a regulatory Document Specialist to facilitate the timely creation of high-quality Party and Customer Account information that satisfies all of our Legal, Regulatory and Customer Service obligations, in a cost-effective manner. This is to assist PWM (Private Wealth Management) in migrating existing clients to a new platform. Estimate is one year for completion
The group has two primary areas of focus:
Analysis and storage of client documentation on all new and existing legal entities to ensure that the firm complies with the Global Know Your Customer regulations
Legal entity creation & maintenance
Responsibilities:
perform anti money laundering and know your client checks for migration of existing clients to the new platform.
responsible for customer record and data creation and maintenance
arranging Document storage and managing Document Storage database
responsible for regulatory control functions including quality checks, metrics and escalation reporting
legacy documentation data review and maintenance
Requirements:
strong research/investigative skills
AML/KYC experience
ability to interact effectively with internal clients (Compliance, BU, Ops)
minimum two years of experience in Financial Industry
Business Knowledge on Global Wealth Management
strong analytical skills
improved documentation data quality levels
If you would like to apply for this role or find out more, please apply online or contact Carmen Chin at Robert Walters on (852) 2103 5300 or carmen.chin@robertwalters.com.hk quoting the Job Reference CXC/315800.