Responsibilities:
Account Opening & Maintenance
- Review account opening documentations to ensure completeness and compliance with regulatory rules and internal policies;
- Liaise with business units to gather missing client’s information and/or any other outstanding issues to ensure Customer Due Diligence (CDD) can be performed properly;
- Perform adverse checks on potential clients to identify any possible AML concerns and to escalate to senior management for approval;
- Response to queries from business units;
- Review submission of updates by existing clients as part of ongoing review.
Trading Limit Review
- Review ad-hoc trading limit requests from business units and submit for senior management approval;
- Perform periodic review on clients’ existing limit to ensure they remain relevant.
License Representative Application & Maintenance
- Review prospective license representatives’ profiles and conduct background checks to ensure they are fit and proper;
- Ensure license representatives comply with annual fit and proper requirements.
Requirements:
- Diploma/Degree in any discipline
- Team player with good interpersonal skills
- Meticulous and able to deliver within tight deadline
- Self-motivated with the ability to multi-task in a dynamic environment
- Familiar with tools such as python, Macro, Tableau will be an advantageResponsibilities:
- You are required to process account opening documentation to ensure completeness and compliance with local regulatory rules and internal policies.
- You will review applicant’s profiles, gather information and perform adverse record checks for assessment of their suitability for account opening or license application.
- In addition, you will assess clients’ credit standing and propose the appropriate trading limits.
- On periodic basis, you will perform reviews on existing clients and licensed reps or any ad hoc duties as assigned by HOD.
Requirements:
- Diploma/Degree in any discipline
- Team player with good interpersonal skills
- Meticulous and able to deliver within tight deadline
- Self-motivated with the ability to multi-task in a dynamic environment
- Familiar with MAS Notices / SGX Futures Trading Rules will be an advantage
