Job Description

Roles & Responsibilities

• Review client files for either new account openings or KYC periodic reviews. This includes (but is not limited to) a review of client's source of wealth, AML risk factors, corporate structures and due diligence searches.
• Act as liaison person and provide advice to Investment Teams in all AML / KYC related topics and cases the business is confronted with.
• Follow up and advice Investment teams in completing outstanding KYC information/ documentation in line with Company standards.
• Oversee and monitor the entire KYC process including coming due and overdue KYC cases.
• Maintenance and ensuring the completeness of KYC/ Compliance records which involves scanning and filing of client onboarding forms, agreements and documentation.
• Advising Front office staff on legal documents and KYC related subjects and requirements.
• Escalation of operational, regulatory and other risks to line manager and functional leads as appropriate; contributes to the development and implementation of mitigation or control solutions.
• Collating and Filing FATCA/CRS submissions on behalf of funds to Tax authorities.
• Keep abreast of Global KYC/ AML Standards, KYC review best practices, Local Laws and Regulations and implement related control processes.
• Promote a strong and effective Compliance culture and risk awareness within the Company, maintain good relationship with all stakeholders.
• Other ad-hoc duties and projects as assigned or as the need arise

Job Requirements

• A degree/diploma holder with at least 2-3 years of AML/KYC related experience/exposure in banks and/or CMI firms preferably in fund management and/or possess regulatory compliance knowledge.
• Any Internal audit/Compliance/AML related accreditation will be a plus.
• Self-starter with excellent interpersonal and communication skills.
• Good analytical and problem-solving ability.
• Able to work independently under minimal supervision and set priorities.
• Good team player.
• Business proficiency in both written and spoken English (Japanese language will be a plus) to effectively communicate with top management and investment teams