Business Risk & Regulatory Execution


Technical Skills

  • Due Diligence
  • Know Your Customer (KYC)
  • Microsoft Excel
  • Microsoft Powerpoint
  • Wealth Management

Job Description

Business Risk & Regulatory Execution

Location: Hong Kong, Singapore

Do you know how to keep an eye out for and avoid risk? Are you skilled at assessing processes and mitigating risk? We’re looking for someone like that who can:

– pre-check client profile (CPAC) for account opening; and drive and perform periodic KYC review activities, e.g. review client profile, customer due diligence data and documents, and ensure that proper remediation steps are taken for any findings/issues
– keep abreast of new KYC policies and requirements and implement new processes into the a/c opening & periodic KYC review processes
– manage an efficient and aligned PKR process & account Opening support for the Markets to achieve efficiency & scale
– the focus is on the assurance of quality and consistency in Client Due Diligent (CDD) standards in accordance to the prevailing requirements; and within stipulated timeframe across Hong Kong & Singapore

Your team

You’ll be in the Risk & Regulatory Execution team in our Wealth Management Markets. We are part of the team that provides services on execution components of
account opening and KYC support to Client and Investment Advisors.

Your experience and skills:
You have:
– a university degree, ideally
– experience in a wealth management environment with detailed exposure to KYC, Client Documentation and account opening
– a risk oriented personality that can balance business needs with risks and controls
– a solid working understanding of Excel & PowerPoint

You are:
– a clear communicator, with exceptional interpersonal skills including the ability to listen
– a problem solver with the mindset to challenge the status quo
– a self-starter, willing to take on responsibility
– able to prioritize escalation issues vs day to day business functions

Employment TypeFull-time
Education LevelBachelor
UBSInvestment Banking and Brokerage

Two International Finance Centre, 8 Finance St, Central

directions_walk11 mins walk from Central Station