Client Onboarding – Policy & Quality Assurance (ideally Japanese speaking), Analyst / Associate recruitment
The Global Policy Quality Assurance Team was formed in Q3 2010 to create an additional layer of Risk Management to protect the Firm from Regulatory and Reputational exposure by ensuring adherence to global AML/KYC Regulatory Requirements and Firm policies. PQA leverages 4 pillars to manage risk:1. Implement AML/CIP Policy Change Management Process2. Collaborate with AML Technology to support regional/global AML/CIP Requirements3. Manage Quality Assurance Testing framework and Risk Assessment Metrics4. Coordinate Internal and External AML/CIP Audit Requests/ResponsesObjectives:• Establish Read more […]
SFG, Client Onboarding, New Accounts recruitment
Day to Day Responsibilities Include: Contribute to high-quality client on-boarding processes from a documentation standpoint, across all asset classes: Analyze and determine account documentation required based upon counterparty type and products traded. As required, liaise with the sales persons and/or the clients to ensure proper dissemination of information and adequate understanding of the requirements In conjunction with the business lines (i) confirm account prioritizations, (ii) coordinate with the various support functions –through formal committees but more importantly on a permanent Read more […]