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Associate, Client Approval & Review, PvB

Standard Chartered Bank | Central, LA, US

Salary Range:$66,000 – $94,000 Salary range estimated by Zippia

Posted 2 days ago


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Description

Job Description

This inclusive employer is a member of myGwork – the largest global platform for the LGBTQ+ business community.

The Role Responsibilities

  • Accountable for the review of Private Bank account documents, SOW and related corroborations on account opening for individual account, corporate account & Trust Account for onshore and offshore clients.
  • Perform independent review to ensure documentations and SOW corroborations of individual and non-individual client are sufficient and in case complex or multiple layer non-individual client to unwrap the structure to identify the documentations requirement for KYC purpose dictated by Group CDD procedures and AML Ordinance.
  • To review client signing arrangement appointment and to identify the control gaps due to special signing arrangement request for management’s review.
  • To review the completeness, accuracy and consistency of account documents and SOW corroborations to ensure adherence to the Group Client Due Diligence Policy, investment sales policies, U.S. tax requirements and regulatory guidelines.
  • To provide constructive advice to PvB Frontline on the enquiries related to account opening documentations and client profile amendments.
  • Ensure proper approval has been obtained before account opening according to the Group CDD procedure.
  • Ensure client information in CuPID is correct at account opening.
  • Analysis the gaps and provide reports to management and Operations Risk on the outstanding gap items and liaise with Frontline to close the gaps.
  • Ensure prior approval has been granted by PvB Compliance and PvB Business for AML/AOD gap item(s).
  • To prepare and maintain Desk Operating Instructions (DOI) for related account opening processes
  • Responsible for the preparation of regular and ad hoc management report.
  • Initiate/Support to liaise with relevant parties, e.g. Platform Managers, Operational Risk, Compliance & Chennai Hub etc. in streamlining existing processes to maximize productivity and efficiency in PvB.
  • Adhere to the agreed CST/Audit and deliver sample documents for CST/Audit.

Processes

  • Adhere to Group, Segment and Country Policy.

Risk Management

  • Report risk area to line manager or risk stakeholders

Governance

  • Adhere to group, local and internal policy

Key stakeholders

  • Frontline, Compliance, Legal, CST Testing Team, COO, Risk stakeholders

Other Responsibilities

  • Embed Here for good and Group’s brand and values in Hong Kong Private Bank Client Onboarding team; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures; Multiple functions (double hats);

Our Ideal Candidate

  • Preferable – ACAMS, AAMLP

Role Specific Technical Competencies

  • English
  • Mandarin
  • Microsoft skillset e.g. Word, Excel, PowerPoint

About Standard Chartered

We're an international bank, nimble enough to act, big enough for impact. For more than 160 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents. And we can't wait to see the talents you can bring us.
Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion. Together we:

  • Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
  • Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
  • Be better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

  • Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations
  • Time-off including annual, parental/maternity (20 weeks), sabbatical (12 weeks maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum
  • Flexible working options based around home and office locations, with flexible working patterns
  • Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
  • A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning
  • Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.

Recruitment assessments - some of our roles use assessments to help us understand how suitable you are for the role you've applied to. If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process.

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