Associate, Client Approval

2 weeks ago

Hong Kong Island, Hong Kong SAR China Standard Chartered Full time
Associate, Client Approval & Review, PvB
  • Accountable for the review of Private Bank account documents, SOW and related corroborations on Account Opening/Trigger Review/Client Maintenance/Static Data Changes 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, U.S. 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 Banking systems (e.g. Cupid and etc) is correct.
  • Analyze 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, e.g. 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.
  • Respond and clear queries from Other Specialists / RM / Compliance on a timely manner.
  • Handle additional tasks/Projects which assigned by Line Manager.

RESPONSIBILITIES

Processes

  • Adhere to Group, Segment and Country Policy.
  • 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.

Key Stakeholders

Our Ideal Candidate

About Standard Chartered

We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us.

Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion.

Together we:

  • Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do.
  • Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well.
  • Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term.
What we offer

In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

  • Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.
  • Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
  • Flexible working options based around home and office locations, with flexible working patterns.
  • Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits.
  • A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
  • Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.
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