About The Company
KGI Securities is a leading multi asset brokerage firm with presence across several countries in Asia and a pioneer member of the Securities & Derivatives, Trading and Clearing Member of Singapore Exchange, ICE Futures Singapore and ICE Clear Singapore.
We hold a Capital Markets Services License, is regulated by the Monetary Authority of Singapore (MAS) and is also an equal opportunity employer.
We are looking for talented highly motivated people who are keen to develop their career. We understand that the key to our success is our people. For this reason, we are committed to attracting and retaining the best possible candidates.
About The Job
Job Responsibilities
· Being the Team lead of Account Management in Operations. Supervise the team on the
- Review of account opening documents for both individual and entity.
- Conduct periodic CDD reviews of existing clients, performing enhanced due diligence, and ensuring overall compliance with procedural standards
- Perform necessary screenings – Sanctions, PEP and Adverse Media/ Negative News screening
- Perform account maintenance by ensuring any update of particulars request are promptly updated
- Advise and Coordinate with Front Office on the CDD requirements by identifying gaps in the CDD documentations
- Assist in maintenance of database for annual FATCA & CRS reporting
- Continuous review and improve the on boarding workflow and process as well as update the PPM accordingly.
- Responsible for Ops AM systems projects and automation.
- People Management
- Any ad-hoc assigned tasks by Head of Operations
Requirements:
- Bachelor’s degree in Banking/Finance/Business Management
- Have solid understanding with requirements under MAS Notice SFA04-N02 – Prevention of Money Laundering and Countering the Financing of Terrorism -Capital Markets Intermediaries
- At least 10 years of experience with minimum 3 years of experience in leading a team of 4 to 6 people in client Onboarding.
- Familiar with FATCA/CRS
- Understanding with requirements under MAS Notice on AML/KYC/CDD
