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\xe2\x80\x99s shape the future of wealth management together.

The CRO division develops and oversees the global framework for risk identification, control, reporting, and management within the risk tolerance for the various business activities for Julius Baer, aiming at sustainable growth of the franchise. As a member of the CRO division, the incumbent is expected to abide by relevant principles and expectations as specified in the CRO Business Organisation Manual.

Compliance is part of the Risk, Legal and Compliance Division of Julius Baer and supports the Senior Management in ensuring compliance with external and internal regulations to actively manage operational, regulatory and reputational risks.

The Compliance Specialist will assist in the Head of Periodic Review Team in extracting the information/data required in performing the first level review checks for accounts due for Periodic Review. He/She will also be required to conduct name screenings on the Bank\xe2\x80\x99s existing clients and perform assessment on the screening results. He/She will be required to include in the account report any true or potential screening hits to facilitate a further assessment on the client\xe2\x80\x99s accounts.

YOUR CHALLENGE

Main Responsibilities:

• Retrieve client profile for the relevant periodic review period to ensure conformity to internal and regulatory requirements on AML/CFT/CDD standards
• Review name screenings and perform assessment on screening results (Google, World check, Factiva). To discount false hits and to highlight any potential or true hits for further assessment
• Escalate newly identified potential or true hits which will affect the overall risk profile of the clients
• Retrieve client\xe2\x80\x99s transactions for the relevant periodic review period; ensure the transactional activities are aligned with client\xe2\x80\x99s risk profile and flag out any suspicious transactions with regards to unknown 3rd parties
• Ensure timely review of name screening searches and ensure that the preparation of the accounts is timely to support the completion of the periodic review of the accounts
• Ensure weekly KPIs are met; provide timely escalations to Team Lead or Head of Periodic Review Team

Client Management (internal & external)

• Be the single point of contact for Front Office queries relating to screening, provide advisory support to Business with regards to resolving newly identified adverse news and assessing its materiality, identifying potential PEPs

Regulatory Responsibilities &/OR Risk Management

• 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

YOUR PROFILE

Personal and Social

• Ability to work independently with an eye for details
• Ability to multitask
• Good interpersonal skills
• Team player

Professional and Technical

• At least 1 years\xe2\x80\x99 prior experience in Name Screening is a must, preferably in Private Banking or Wealth Management
• A good degree and understanding of the Private Banking and Wealth Management industry
• Prior experience in leadership roles will be an advantage
• Familiarity with MAS 626 requirements will be an advantage
• Ability to read traditional and simplified Chinese for screening of Mandarin names will be an advantage
• Proficiency in other Asian language(s) also an advantage for name screening purposes.
• Basic Excel knowledge

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Julius Baer