Job Description

At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let's shape the future of wealth management together.
The Client Screening Unit (CSU) is a dedicated team in the Client Documentation Services, COO Department, within Private Banking. This unit is responsible to conduct name screening, review the results and provide appropriate comments, as well as conducting quality assurance checks on screening related work performed by various business units. Each member of the team works proactively with the business, and other internal functions. He/she is responsible for the accurate and timely processing of various screening requests, as well as the efficient handling of enquiries, and escalation to senior colleagues where necessary.
YOUR CHALLENGE
Client Management (internal & external)

• Perform name screening and searches on prospective clients and existing customer base
• Check quality of submission for name screening and where required, request further information from Front office
• Review and disposition of hits adequately documented and promptly escalate all true and potential hits within the required timeline
• Ensure quality service is provided to internal clients i.e. Relationship Managers / Assistant RMs
• Perform quality assurance checks on work done by other business units when required

Business Management

• Strong commitment to quality service and a desire to drive continuous process improvement initiatives
• Support new initiatives and ad hoc tasks as assigned by HOD
• Support the team in user acceptance testing

Supervisory Responsibilities

• Provide guidance and day to day supervision to junior team members in relation to name screening processes and hit disposition
• Mentor and support team members through on the job training, particularly in interpreting screening results and regulatory requirements
• Act as first point of escalation for complex screening cases; assess risk and recommend appropriate actions

Regulatory Responsibilities &/OR Risk Management

• Ensure adherence to relevant regulatory laws, compliance policies and procedures when performing quality review
• Work with Compliance and other stakeholders
• Demonstration of appropriate values and behaviours including but not limited to standards on honesty and integrity, due care and diligence, fair dealing (treating customers fairly), management of conflicts of interest, competence and continuous development, adequate risk management, and compliance with applicable laws and regulations

RANK
Associate Director
YOUR PROFILE
SKILLS REQUIREMENTS
Personal and Social

• Able to multitask and work under tight deadlines
• Sound judgment and initiative
• Able to work with minimal supervision and a team player
• Good organization ability and time management skills
• Meticulous with an eye for detail
• Proactive, hands-on and solutions-oriented
• Excellent inter-personal and communication skills
• Good analytical and problem solving ability

Professional and Technical

• Degree / Diploma holder with at least 3 years of relevant experience in name screening will be an advantage
• Good MSOffice software knowledge and aptitude for technology
• Good command of both written and verbal in English and Chinese

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Skills Required