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1)         Customer Due Diligence/AML/KYC

• Take a consultative approach in providing timely and quality guidance to PWM Relationship Manager (RM) pertaining to business risk on compliance, regulatory and policy matters.
• Ensure regulatory and HO compliance including periodic KYC review of Private Wealth clients as part of ongoing monitoring, adherence to client on-boarding process and requirements, as well as adherence to client and product suitability/concentration framework.

2)         Audit Controls Testing and Requirements

• Independently conducts monthly quality assurance control testing of PWM’s end-to-end process including Sales, CA and KYC to ensure compliance with internal and regulatory policies.
• Identify root cause and propose solution to address issues raised by external and internal auditor, AML compliance in their annual or ad-hoc reviews.

3)         Management Reporting

• Preparation of management reports for all necessary management meetings
• Assist Head of PWM in managing campaigns and process improvement projects within the department.

Realise your full potential at Hong Leong Bank by applying now.