Main job description

1. Review and Process Documents for Account Opening

• Evaluate and approve necessary documentation for the creation of new accounts.

• Ensure all documentation meets internal and external regulatory standards.

2. Perform Account Maintenance Activities

• Client Communication: Engage with clients to address their queries and needs.

• Suitability: Ensure investment products and services align with the client's profile and objectives.

• Tax Forms Processing: Manage and process necessary tax documentation for clients.

3. Verification of Client Data

• KYC (Know Your Customer): Conduct thorough KYC checks to confirm client identity and legitimacy.

• Customer Due Diligence (CDD): Perform standard due diligence to assess potential risks associated with clients.

• Enhanced Due Diligence (EDD): Conduct in-depth analysis for higher-risk clients to ensure compliance with regulatory standards.

4. Perform Adverse News Search

• Investigate and assess any negative information about clients through media and other sources.

• Analyze findings and determine any necessary actions or escalations.

5. Liaison with Customers and Relationship Managers

• Communicate and coordinate with clients for document submissions.

• Support both local and overseas Relationship Managers to facilitate smooth client interactions and documentation processes.

6. Client File Management

• Ensure all client files are accurately stored, organized, and maintained.

• Adhere to data protection and confidentiality regulations.

7. Report Preparation for Management

• Compile and prepare various reports for management review.

• Include monthly statistics, identify any irregularities, and provide insights or recommendations.

8. Participation in Regulatory and Process Improvement Projects

• Engage in projects related to regulatory changes, process improvements, remediation activities, and audits.

• Ensure compliance with new regulations and enhance operational efficiency.

9. Ad-hoc Duties

• Undertake additional tasks as needed to support the team and business operations.

Other job requirements

1. Excellent Team Player with Strong Interpersonal and Communication Skills

• Demonstrates the ability to work effectively within a team.

• Possesses strong interpersonal skills to collaborate with internal and external stakeholders.

• Can build and maintain positive working relationships across different departments and with clients.

2. Proficient in Bilingual Communication

• Exhibits excellent communication skills in both English and Mandarin.

• Able to prepare clear and professional email correspondence.

• Capable of creating periodic reports in both languages, catering to overseas branches and HQ in Taiwan.

3. Committed and Meticulous with Attention to Detail

• Shows a high level of commitment to their role.

• Possesses a meticulous nature, ensuring all work is done with precision.

• Maintains a keen eye for detail, crucial for document review, data verification, and compliance tasks.

4. Proactive Problem Solver and Liaison

• Takes initiative in identifying and solving problems.

• Actively liaises with team members across different subsidiaries.

• Follows up on tasks and issues to ensure timely resolution and progress.

5. Awareness of Risk Controls and Regulatory Requirements

• Understands and adheres to risk control measures.

• Knowledgeable about local and overseas market practices.

• Stays informed on relevant regulatory requirements to ensure compliance in all activities.

6. Ability to Participate in Ad-hoc Projects

• Flexible and adaptable to take on additional tasks as needed.

• Capable of contributing effectively to various projects, even those that arise unexpectedly.

• Brings value to project teams through relevant expertise and a collaborative approach.

Top 3 requirements that candidates must possess

1. Language proficiency in reading and communicating

2. Team player

3. Outgoing personality