AML), Risk Credit Management

UOB•Phoenix, AZ

51d•Onsite

About The Position

We are looking for a detailed and proactive individual to join our team as an account documentation officer. This position plays a vital role in supporting Global Markets in ensuring effective investment products account setup, accurate regulatory reporting, and efficient documentation management. The ideal candidate will possess in-depth knowledge of KYC procedures, AML regulations, and investment product documentation

Requirements

Degree holder in any discipline, preferably Business.
Fresh Graduates can be considered
Able to multi-task and cope with change and diversity in a fast-paced environment
Solid understanding of AML and broader regulatory frameworks preferred.
A collaborative team player with strong attention to detail, excellent communication skills, and the ability to perform under pressure and meet deadlines.
Must be able to handle repetitive work; with attention to details and conscientious.
Proficiency in Microsoft office, familiarity with VBA for data analysis is a plus.
On site work is required.

Responsibilities

Regulatory Reporting Prepare and submit annual reports for regulatory bodies, AML CSA, KRCSA, and product distributors.
Conduct monthly and annual reviews of investor status to ensure compliance and accuracy.
Regulatory & Investment Documentation Projects Contribute to ad hoc projects focused on investment and OTC derivatives documentation, as well as regulatory compliance initiatives.
Broker Onboarding Support Assist Global Markets in broker onboarding by completing KYC questionnaires and providing required supporting documentation.
Account Opening Quality Control Conduct quality checks and support the setup of investment accounts by ensuring all account opening documentation and Customer Due Diligence (CDD) information are complete and accurate.
Work closely with Relationship Managers and support teams across business segments to verify documentation and gather required information for account setup and investor status renewals.
Oversee customer account maintenance by coordinating instructions to operations teams for account closures, updates to signatories, securities settlements, and lodgment of client documentation
Provide guidance and support to Global Market Sales traders on account setup, periodic reviews, and ad hoc queries.
Post-Trade Suitability Monitoring Monitor post-trade activities to ensure product suitability and adherence to client profiles.
Screening and Issuer Set Up Carry out pre-name screening and facilitate the setup of securities issuers into the Bank’s central system.
Conduct daily name screening clearance of securities issuers within the AML system
Conduct screening reviews in line with MAS643 requirements.
Documentation Remediation and manual updates Review of Standard Operating manual.
Remediate documentation deficiencies to ensure regulatory and internal standards are met.