Associate-Commercial Customer Screening

Role summary:
This role is responsible for internal and customer facing support related to MIS AML/CTF program and controls function in APAC that ensures MIS meets both its United States regulatory obligations and its AML/CTF country regulatory obligations. Under the supervision of the AVP, Commercial Customer Screening, AML/CFT, this role works with internal functions to perform customer due diligence and participate in projects focused on regulatory compliance and process improvement.
Key Accountabilities:

Perform Anti-Money Laundering (AML) and Know Your Customer due diligence (CDD) on new and existing relationships to the firm

Conduct customer risk assessment; support customer onboarding and periodic reviews in full compliance with MIS policies and operational procedures as well as external regulatory requirements

Engage existing and new customers in the collection of detailed customer information and supporting documentation required for the completion of CDD
Investigate, escalate and resolve name screening monitoring alerts and queries
Ensure completeness of CDD information and supporting documentation

Perform enhanced protocols for high risk cases

Perform data quality assurance checks on case work and name screening

Work with Legal and Compliance to review documentation requirements and address exceptions to complete the CDD reviews

Update KYC and internal systems with information and documentation obtained

Apply logical thinking, factual analysis and self-discovered research to substantiate an opinion as part of case work

Perform AML internal controls and escalations

Produce regular AML MIS reports for internal stakeholders and senior management

Perform system testing and work with IT to enhance reporting

Assist to implement new regulatory and process improvement changes

Update team procedures and guidelines

Support internal audits, external exams and Compliance testing and related data requests

Work with the different levels of the Commercial Group, Legal and Compliance to ensure end to end efficiency and effectiveness in the Know Your Customer activities

Provide support to the Sales teams that improves the customer experience and ensures the Sales teams are able to focus on the relevant customer-related activities

Monitor mandates beginning at handover through to billing, provide customer support that improves the customer experience and ensures the Sales teams are able to focus on relevant customer related activities

Build and maintain excellent relationships within various internal stakeholders, including Relationship Management, Legal, Compliance, Pricing, GMO, Billing and Collections

Perform or participate in ad hoc tasks and projects as assigned

Bachelor’s degree, preferably in Business Management, Finance or Accounting

At least 2 years of relevant experience in an established financial institution with a focus on AML/CFT (including negative media and PEP screening)

In-depth knowledge on banking operations procedures, risk management as well as regulatory compliance standards

Sound knowledge of AML regulations across HK or SG (additional jurisdictions preferred)

Able to communicate effectively, clearly and concisely at all levels both internally and externally. Strong oral and written communication skills in English

Excellent interpersonal and influencing skills along with commercial acumen required for rapport building with customers and internal staff

Strong execution skills, to plan, organize and drive through results under conflicting priorities and pressures

Must be a self-starter, pro-active, organized, with a keen eye on details and have the ability to work independently at a local, regional and global level

Highly motivated, intuitive and possess initiative to identify potential process improvements

An analytical mind with attention to detail

Fluency in Asian languages (such as Cantonese, Mandarin, Korean and Japanese or Portuguese advantageous)

Strong MS Excel and PowerPoint skills

Commercial Customer Screening, AML/CFT

Moody’s is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected veteran status, sexual orientation, gender expression, gender identity or any other characteristic protected by law.

Moody’s is a developmental culture where we value candidates who are willing to grow. So, if you are excited about this opportunity but don’t meet every single requirement, please apply! You may be a perfect fit for this role or other open roles.

Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions.

At Moody’s, we’re taking action. We’re hiring diverse talent and providing underrepresented groups with equitable opportunities in their careers. We’re educating, empowering and elevating our people, and creating a workplace where each person can be their true selves, reach their full potential and thrive on every level. Learn more about our DE&I initiatives, employee development programs and view our annual DE&I Report at moodys.com/diversity