Director, Client Approval

1 month ago

Hong Kong, Hong Kong SAR China Standard Chartered Bank Full time

Role Responsibilities

[Accountable for the review of Private Bank account documents, SOW and related corroborations on account opening for individual account, corporate account & Trust Account for onshore and offshore clients. Perform independent review to ensure documentations and SOW corroborations of individual and non-individual client are sufficient and in case complex or multiple layer non-individual client to unwrap the structure to identify the documentations requirement for KYC purpose dictated by Group CDD procedures and AML Ordinance.  To review client signing arrangement appointment and to identify the control gaps due to special signing arrangement request for management’s review. To review the completeness, accuracy and consistency of account documents and SOW corroborations to ensure adherence to the Group Client Due Diligence Policy, investment sales policies, tax requirements and regulatory guidelines. To provide constructive advice to PvB Frontline on the enquiries related to account opening documentations and client profile amendments. Ensure proper approval has been obtained before account opening according to the Group CDD procedure. Ensure client information in CuPID is correct at account opening. Analysis the gaps and provide reports to management and Operations Risk on the outstanding gap items and liaise with Frontline to close the gaps. Ensure prior approval has been granted by PvB Compliance and PvB Business for AML/AOD gap item(s).  To prepare and maintain Desk Operating Instructions (DOI) for related account opening processes Responsible for the preparation of regular and ad hoc management report.  Initiate/Support to liaise with relevant parties, Platform Managers, Operational Risk, Compliance & Chennai Hub etc. in streamlining existing processes to maximize productivity and efficiency in PvB. Policies/Process notes reviews Handle the Client Committee meeting Engage in the projects or tasks which related to the team Adhere to the agreed CST/Audit and deliver sample documents for CST/Audit.

Processes

Adhere to Group, Segment and Country Policy.

Risk Management

Report risk area to line manager or risk stakeholders

Governance

Adhere to group, local and internal policy

Regulatory & Business Conduct

Display exemplary conduct and live by the Group’s Values and Code of Conduct. Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct. Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters. Lead to achieve the outcomes set out in the Bank’s Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.] *

Key stakeholders

Frontline, Compliance, Legal, CST Testing Team, COO, Risk stakeholders

Other Responsibilities

Embed Here for good and Group’s brand and values in XXXX [country / business unit / team]; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures; Multiple functions (double hats);

Our Ideal Candidate 

Role Specific Competencies

English Mandarin Cantonese  Microsoft skillset Word, Excel, Powerpoint

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