Senior KYC Analyst/Manager

Job Description

Responsibilities

Working out of Japan covering the Japan Region you will become part of the regional client onboarding team which is located decentralized in each country office and anchored in HQ in Denmark.
The nature of your tasks will range from onboarding private clients by yourself including Client Due-Diligence (CDD), Ongoing Due-Diligence (ODD) as well as Enhanced Due-Diligence (EDD) and the companys global Risk Assessment Framework for high risk and high net worth clients.
You will be primarily responsible for handling high-risk clients where Source of funds documents (SOF) are required to be obtained from clients.
While liaising with India onboarding team for high-risk clients, as required you will be actively following up (phone calls, emails) with clients directly to ensure that they fulfill the requirements of submitting source of funds documents.
Based on the client’s social media presence as well as the limitation of providing SOF documents, you will be able to propose a risk-based approach and obtain approval from Company’s global AML team.
Based on the onboarding volume, you may be engaging up to 75% of the time managing onboarding of high-risk clients.
You will be directly managing the onboarding consultants based in Japan to support private client onboarding flows.

• Manage local team on onboarding consultants
• Liaise with India onboarding and manage daily onboarding allocations to onboarding consultants
• Be familiar with general Onboarding standards for private individuals
• Aware of the SOPs & Shared folders for reference whenever required
• Should be aware of the CRM, UCR and other systems for Navigation and understanding of various options useful for processing Onboarding requests
• Deliver timely Onboarding within the agreed 24 hours SLAs on processing time
• Inbox Handling for the respective markets.
• Meet the quality standards on both Critical (96%) & Non-Critical (90%) categories or as per the respective geographies migration signoff standards
• Ensure that KYC quality is high, and that client risk is kept under control
• Ensure to be updated on the changes and be vigilant while processing across the same
• Learn new Processes/Markets
• Process the incoming client applications for corporate and institutional clients in accordance with the Due Diligence business procedures, and in line with the Global Minimum KYC Standards and the Group’s Risk Appetite.
• Reach or exceed the Key Objectives agreed with your leader.
• Embrace and live up to the Group Corporate Statement and Rules of Engagement
• Secure high-quality assessment and processing of high-risk clients
• Provide for rolling reviews of clients of all risk levels and show increased efficiency in processing
• Through process ownership, ensure compliant, cost-efficient, and scalable client risk management in e.g. onboarding.
• Support continuous improvements of processes
• Refer to SOPs wherever required and refrain from being dependent on anyone in the team
• To work independently after 3-6 months of processing in a particular market/process (Depending upon the Learning Curve)
• Clear the Monthly Process knowledge assessments for the respective markets.
• Cross Trained on at least 3 Markets/Process in a year
• You have the mandate to approve and set up client accounts upon the completion of the 4i check
• You have the mandate to continuously update the governing procedures and work instructions in line with updated Global Minimum KYC Requirements, Compliance, Quality Control and Legal
• To interact and if necessary, intervene with any part of the company to ensure compliance, operational efficiency, proper business procedures and client focus in Regulatory and Client Risk & Control - working closely with relevant stakeholders securing this.
• To intervene in case the Regulatory and Client Risk & Control areas of responsibilities are not being fully adhered to or followed - in any part of Company - liaising with relevant Group departments or within Global Operations
• Follow up and drive key Regulatory and Client Risk & Control priorities and cross-departmental projects agreed with the Head of Regulatory and Client Risk & Control
• You have the mandate to collect and analyze information to evidence the need for change

Qualification

• Language Skills: bilingual - Japanese, English
• Have extensive knowledge of locally important regulatory requirements and background legislation

Company Description