Main job description
1. Review and Process Documents for Account Opening
· Evaluate and approve necessary documentation for the creation of new accounts.
· Ensure all documentation meets internal and external regulatory standards.
2. Perform Account Maintenance Activities
· Client Communication: Engage with clients to address their queries and needs.
· Suitability: Ensure investment products and services align with the client’s profile and objectives.
· Tax Forms Processing: Manage and process necessary tax documentation for clients.
3. Verification of Client Data
· KYC (Know Your Customer): Conduct thorough KYC checks to confirm client identity and legitimacy.
· Customer Due Diligence (CDD): Perform standard due diligence to assess potential risks associated with clients.
· Enhanced Due Diligence (EDD): Conduct in-depth analysis for higher-risk clients to ensure compliance with regulatory standards.
4. Perform Adverse News Search
· Investigate and assess any negative information about clients through media and other sources.
· Analyze findings and determine any necessary actions or escalations.
5. Liaison with Customers and Relationship Managers
· Communicate and coordinate with clients for document submissions.
· Support both local and overseas Relationship Managers to facilitate smooth client interactions and documentation processes.
6. Client File Management
· Ensure all client files are accurately stored, organized, and maintained.
· Adhere to data protection and confidentiality regulations.
7. Report Preparation for Management
· Compile and prepare various reports for management review.
· Include monthly statistics, identify any irregularities, and provide insights or recommendations.
8. Participation in Regulatory and Process Improvement Projects
· Engage in projects related to regulatory changes, process improvements, remediation activities, and audits.
· Ensure compliance with new regulations and enhance operational efficiency.
9. Ad-hoc Duties
· Undertake additional tasks as needed to support the team and business operations.
Other job requirements
1. Excellent Team Player with Strong Interpersonal and Communication Skills
· Demonstrates the ability to work effectively within a team.
· Possesses strong interpersonal skills to collaborate with internal and external stakeholders.
· Can build and maintain positive working relationships across different departments and with clients.
2. Proficient in Bilingual Communication
· Exhibits excellent communication skills in both English and Mandarin.
· Able to prepare clear and professional email correspondence.
· Capable of creating periodic reports in both languages, catering to overseas branches and HQ in Taiwan.
3. Committed and Meticulous with Attention to Detail
· Shows a high level of commitment to their role.
· Possesses a meticulous nature, ensuring all work is done with precision.
· Maintains a keen eye for detail, crucial for document review, data verification, and compliance tasks.
4. Proactive Problem Solver and Liaison
· Takes initiative in identifying and solving problems.
· Actively liaises with team members across different subsidiaries.
· Follows up on tasks and issues to ensure timely resolution and progress.
5. Awareness of Risk Controls and Regulatory Requirements
· Understands and adheres to risk control measures.
· Knowledgeable about local and overseas market practices.
· Stays informed on relevant regulatory requirements to ensure compliance in all activities.
6. Ability to Participate in Ad-hoc Projects
· Flexible and adaptable to take on additional tasks as needed.
· Capable of contributing effectively to various projects, even those that arise unexpectedly.
· Brings value to project teams through relevant expertise and a collaborative approach.
Top 3 requirements that candidates must possess
1. Language proficiency in reading and communicating
2. Team player
3. Outgoing personality
