Head of Investor Services AML
BNP Paribas
- Hong Kong
- Permanent
- Full-time
- excluding partnerships
- Manage and supervise a team to perform KYC on investor during onboarding process and collect the KYC and Tax information/document
- Ensure that investor due diligence has been completed to a satisfactory standard, and is kept up-to-date
- Detection of any unusual and/or suspicious transactions by investor with due reporting to department head and Compliance Officer
- Perform regular review on investor KYC in accordance with the regulatory and the Bank’s requirement
- Ensure client are KYC/FATCA compliant, and escalate any non-compliant on a timely manner
- Ensure investor KYC/FATCA information and status are accurately maintained in records
- Ensure client are FATCA compliant by proving files for filing before regulatory deadline
- Ensure timely response to clients and investors; as well as proposing solutions and decisions to clients
- Abreast with the regulatory and market development of KYC/AML and FATCA/AEOI
- Assist in training and coaching staff to enhance performance
- Enhance the communication/collaboration within and outside the team
- Escalate issues/potential issues, operational risks identified to the department head
- Ensure client satisfaction and service are delivered in a controlled environment, strict compliance with BNP Paribas’ internal guidelines as well as external regulatory environment
- To have AML/CFT risk awareness and complete all identified mandatory training so as to ensure understanding of relevant/applicable Group policies (including but not limited to financial security related matters) and to escalate any irregularities where necessary. To also ensure that his/her team has completed and will adhere to the same.
- Make recommendation to the department head or other teams the operations areas where improvement is needed for enhancing client satisfaction
- Assist in training and coaching staff to enhance performance
- Assist in new mandate pitching meeting and fund documentation review / fund structure discussion
- Lead the team to complete the regular audit exercise including internal audit and ISAE audit
- Ensure the operating model in compliance with regulations, market infrastructure evolution and BNP Paribas internal control rules and meet compliance and regulatory obligations
- Adhere to the Code of Conduct and act accordingly internally, when facing clients and providers
- Able to collaborate with other team members and provide assistance in BAU and projects
- Being approachable by the junior staff for any enquires, with a positive working attitude and mindset setting role model to the teams
- Able to contribute on any business change and assist to drive the change
- Possess the required level of conduct that is promoted by the organization