Associate Client Due Diligence
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Job Location:
Monthly Salary:
Posted on:
3 hours ago
Vacancies:
1 Vacancy
Job Summary
Reporting to the Associate Director Client Due Diligence you will ensure MUFG conducts business operations in full compliance with all relevant national and international laws and regulations as well as professional standards accepted business practices and internal standards.
You will ensure that we meet our new business take on and Ongoing Monitoring (OGM) regulatory obligations by reviewing client files updating risk assessment forms and ensuring the information is up-to-date and accurate.
- Act as Maker/Checker for the review and sign-off Client Risk Assessment Forms for new clients as part of the onboarding process
- Assess client documents and provide requirements list to the Client Integration (CI) project manager.
- Review new clients documentation promptly and present findings to CI
- Act as Maker/Checker for the review and sign off Client Verification Checklists
- Review CDD files on a periodic and trigger basis as part of our Ongoing Monitoring (OGM) Process
- Maintenance and safe keeping of CDD documents files and OGM trackers
- Ensure compliance with the AML Framework in place across all relevant business areas and jurisdictions
- Review and conduct CDD/KYC/PEP and Sanction Checks.
- Request appropriate CDD documentation from MFS & MAFS Clients/Funds
- Review constitution documentations for multiple entity types.
- Work with Clients through written communication on a periodic basis until all appropriate CDD documentation has been obtained
- Ensure queries and emails are responded to promptly
- Identify issues and ensure appropriate action is taken or escalated
Qualifications :
- A minimum of 18 months experience within an AML / Compliance role
- Experience reviewing AML documents at a client or investor level
- A strong team player and good attention to detail is ideal
- 3rd Level / College Qualification desirable
Additional Information :
Experience something Brilliantly Different with a career with MUFG Investor Services.
Who are we In a nutshell MUFG Investor Services is part of the Mitsubishi UFJ Financial Group family and we partner with over 480 loyal global investment firms to provide them with administration asset services banking and fund financing.
Were in 14 global locations and provide an exceptional hub of Brilliantly Different talent to thrive.
Still interested
Remote Work :
No
Employment Type :
Full-time
Key Skills
- Customer Service
- Client Expectations
- Client Requirements
- Client Support
- Action Plans
- Issue Resolution
- Account Management
- Client Relationships
- Service Delivery
- Client Service
- Client Satisfaction
- Client Management
- Procedures
- Service Level Agreements
- New Clients
About Company
Were more than just fund administration. Our offerings include a scope of solutions not historically provided by asset servicing companies. From fund financing to subscription lines of credit, securities lending, foreign exchange (FX) services, consulting services and beyond, we help ... View more
