Client Management, Team Leader
Location: HK-Hong Kong (HK)-Hong Kong
§ Client On-Boarding team’s objective is to be the sole interface for new clients for standard sensitive accounts. The goal, for this team, is to ensure a global and consistent “first service” is rendered to the clients.
§ This team will be working around 3 main themes: Prioritization of on-boarding, Coordination of the whole process (Risk, Legal and Systems) and production of the Legal documentation and KYC (Collection, Completeness, Conformity and Analysis. The team is also in charge of the regular review process for standard sensitive accounts
§ The team must work as “one team” to ensure a cutting edge on-boarding service to clients and work closely with major functions as well as FO/Markets.
§ Overall, through a dedicated on-boarding team and a single point of contact, the team is responsible for client satisfaction with respect to on-boarding.
§ To facilitate and provide a complete transversal on–boarding service to WM APAC. Producing client risk assessments, client profiles, and due diligence analyses.
§ Providing feedback and escalating issues to the appropriate support functions and management.
Implementation and Process
- Work closely with Front Office to facilitate the collection of KYC and other relevant documents in accordance with the prevailing account opening procedures and local regulations. To ensure evidence of each customer’s identity and other relevant documents are received in order before account opening.
- Review and approve KYC for new client on-boarding for standard sensitive accounts (i.e. non high risk clients).
- Perform qualitative and quantitative check on New Account Documentation for all clients
- Conduct KYC/CDD review on existing clients through periodic review.
- Ensure all client files are stored and maintained accordingly (electronically and in paper format).
- Support Front Office queries related to client on boarding and client due diligence process.
- Prepare regular reports for Management review (account documentation irregularities, monthly statistics).
- Ensure timely processing of static data updating request.
- To ensure smooth files production and CAC process and without any delay within his / her team. Also communicate and help when necessary with other Teams within CM.
- Work within a team – with an adaptable flexible approach, coordinate with team members and Front Office to resolve complex cases and address issues in a timely manner.
o Be open to change and support the vision of working in a fully transversal operation
Competencies (Technical / Behavioural)
- Team player, independent, hardworking, eager to learn and attention to details
- Client-oriented and high adaptability to changing environment
- Able to work under pressure and deal with unclear requests as well as a high volume of requests
- Strong analytical and strong risk sense
Specific Qualifications Required
- Minimum 6-8 years of relevant working experience
- Bachelor’s level degree or professional qualification
- Understand the principles and be familiar with WM products and types of customers
- Strong understanding of account documentation, due diligence and local Anti-Money Laundering requirements
- Fluent in English (spoken and written). Good command in Mandarin is a plus (for supporting Taiwan/China Markets).
- Excellent communication and interpersonal skills
- Must possess a strong fundamental and technical skills, awareness of operational risk
- Excellent PC skills, especially in Excel. Knowledge of ACCESS is an advantage.
- Anti Money Laundering (AML)
- Due Diligence
- Know Your Customer (KYC)
- Microsoft Access
- Microsoft Excel
- Operational Risk