Senior Executive, Middle Office Operations (Wealth Management)
About the role
As Senior Executive, Middle Office Operations, you will own the end-to-end review and processing of Wealth Management client onboarding and client lifecycle activities. This covers documentation review and validation, name screening, periodic reviews and event-triggered reviews. You will help make sure every client relationship is set up and maintained accurately, follows policy, and meets service standards.
Key responsibilities
- Review and process client onboarding, account opening, account maintenance and related servicing requests from start to finish, for both individual and non-individual clients.
- Check that account-opening forms, supporting documents, approvals and system records are complete, consistent and valid.
- Perform name screening, periodic reviews and event-triggered reviews in line with internal policies and regulatory requirements.
- Spot documentation gaps, inconsistencies and exceptions, and work with the relevant stakeholders to clarify or fix them.
- Process all requests accurately and within the agreed service standards.
What we're looking for
You will be able to:
- Handle both routine and complex cases independently, with minimal supervision.
- Apply policies and procedures with sound judgement to each client's actual circumstances, rather than relying only on checklists.
- Recognise material KYC, documentation, operational and control risks.
- Challenge incomplete or unsupported information in a professional, constructive way.
- Give stakeholders practical guidance while respecting the approval authority of Compliance, Business Compliance Control Office and other control functions.
- Manage competing priorities and follow outstanding matters through to resolution.
- Escalate significant issues promptly, with a clear explanation of the risk involved.
- Coach and support junior team members to build the team's overall capability.
- Contribute actively to process improvements, user acceptance testing (UAT) and control-enhancement initiatives.
- Bring a high standard of accuracy, professionalism, confidentiality and ownership to your work.
We regret that only shortlisted candidates will be notified.