Reviews high-risk client onboarding and KYC documentation, validates source-of-wealth information, identifies gaps, manages escalations, and monitors onboarding performance. Partners with Relationship Managers and Compliance teams, provides AML and regulatory training, prepares reporting, conducts audits, and improves CDD workflows through process optimization and automation initiatives.
Responsibilities:
Compliance & Risk Management
- Ensure thorough, timely and quality review of client onboarding requests
- Partner with Relationship Managers in the KYC write-up, identify areas of clarification and ensure adequate follow-up with client and closure prior to KYC submission
- Corroborate customer’s source of wealth information submitted
- Track and report on the progress and efficiency of the high risk portfolio onboarding pipeline, risk trends and recurring KYC issues, actions triggered to ensure adequate progression of the case
- Provide subject matter expertise and training to internal teams on high risk onboarding standards and regulatory changes on a periodic basis as and when required
- Ensuring adverse news screening performed is in accordance with approved procedures and industry standards
- To prepare periodic and ad hockey management/regulatory reporting on KYC
Portfolio & Performance Management
- Assist in the end-to-end client onboarding process, from prospect onboarding advisory to account opening and fraud management, facilitating compliance with the bank’s requirements and timely opening of accounts
- Conduct periodic reviews and audits of account opening and onboarding documentation to ensure compliance with internal policies and regulatory standards
- Identify and remediate documentation gaps, inconsistencies, and control weaknesses
- Ensure timely escalation of documentation discrepancies and exceptions
Stakeholder Engagement
- Partner with Relationship Managers and Compliance to ensure documentation is fit-for-purpose and aligned with CDD policies and local requirements
Process Optimization
- Participate in initiatives to enhance turnaround time and efficiency, mitigating risk and contribute to the development and implementation of best-in-class CDD and onboarding practices and policies
- Participate in initiatives to digitize and automate documentation workflows, reducing manual errors and improving turnaround times
- Monitor industry trends and regulatory developments to proactively adapt and improve practices
- Ensure adherence to turn-around-time for each stage of the end-to-end process, and tracking mechanisms as required
Requirements:
- Bachelor’s degree in Finance, Business, Law, or related discipline
- Technical and Regulatory Knowledge relating to CDD and onboarding processing/risk
- Experience in developing and implementing end-to-end process flows, and managing High risk clients would be an advantage
- 5-7 years of experience in onboarding, compliance, or compliance assurance
- Strong understanding of KYC, CDD, onboarding processes, and regulatory requirements
- Technical understanding of CDD and onboarding end-to-end process
- Strong analytical skill and eye for detail
- Good communication and interpersonal skills
- Independent, versatile and able to perform under pressure
- Knowledge of Commercial Banking business practices, processes and procedures
- Proven track record in managing regulatory compliance and risk assurance functions
- Strong leadership, stakeholder management and communication skills
- Good communication skills, written and spoken with the ability to communicate at all levels
CIMB Singapore Singapore Office
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