CLM Associate
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Monthly Salary:
Posted on:
Yesterday
Vacancies:
1 Vacancy
Job Summary
We are currently seeking a high calibre professional to join our team as a CLM Associate.
The role focuses on CDD/KYC quality assurance for the onboarding of new accounts and periodic reviews across PBSG and other ASP PB platforms with a primary focus on UHNW clients.
The role holder will review a sample of completed Onboarding and Periodic Reviews to ensure all areas of risk and financial crime risk are considered by Relationship Managers and CLM Teams and work closely with RMs and ASP CLM Teams to ensure completion at required quality standards. This role includes an element of coaching and training of Customer Due Diligence (CDD) based on trends from Quality Assurance to maintain compliance sharing best practices to drive improvement in client service quality and consistency against standards and frameworks.
In this role you will:
- Ensure the quality of the CDD end to end process has been adhered to for New to Bank and Existing to Bank clients
- Feedback of errors and common trends to CLM Front Office teams and the Business and providing support training and coaching to the CLM Teams on interpretation of the guidance
- Ensuring assurance reviews are undertaken to the required quality and detail on a timely basis
- Supporting the Regional Quality Assurance Lead by organizing and running of group training sessions to enhance quality results
- Recommending/undertaking further due diligence where required. Ensuring a conclusion is reached with regards to risk additional due diligence
- Communicating effectively and ability to lead discussions regarding complex queries with Compliance RM or Front Office contacts
- Timely and accurate reporting of Business / Compliance related Management Information.
- Undertaking adhoc reviews of extended due diligence (e.g. tax AML risk factors) to assess risk and compliance
To be successful you will need:
- Proven experience in the Financial Services Industry. Previous experience in compliance audit risk management or any other oversight monitoring function is a plus
- Strong focus on KYC/CDD knowledge and an attention to detail. Knowledge of AML regulatory local regulatory requirements within the Banking industry
- Good interpersonal skills and comfortable working with all levels of seniority both within the HSBC organization and with the senior management of the function
- Strong self-motivation and ability to work independently
Issued by The Hongkong and Shanghai Banking Corporation Limited.
IC
Key Skills
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About Company
HSBC Holdings plc is a British multinational investment bank and financial services holding company. It was the 7th largest bank in the world by 2018, and the largest in Europe, with total assets of US$2.558 trillion.
