Compliance jobs in États-Unis

Being in the International & institutional Client Servicing team, you will render on‑going high standard of servicing to mainly institutional clients. This candidate needs to work closely with the various departments internally i.e. from Sales team, Legal and Regulatory Compliance, Risk & Performance, Investment Compliance and the different units within Operations Department.

• Responsible for daily on‑going service, weekly, monthly and quarterly reporting and preparation of PowerPoint presentation deck for client’s review meetings and ad hoc client requests.
• Assist the team with completion of client due diligence questionnaire.
• Manage ad hoc projects for the team to enhance CSI workflow and collaboration with the cross functional teams.
• Perform on‑going annual and ad hoc institutional client review and world checks.
• Maintain compliance with regulatory standards such as FATCA, CRS and ongoing AML and know your client (KYC) process.
• Update of monthly management report for the institutional sales & client servicing team.
• Able to present and articulate portfolio’s performance clearly and effectively and handle client queries and requests promptly.
• Attend portfolio review meetings with the respective portfolio managers.
• Work as an effective liaison with Institutional Sales, Account Opening and Middle Office to complete the stringent account opening process to effect injection of funds.
• Ensure sign off of documentation before activation of accounts.
• Ability to cross sell firm’s products and services.

• Degree holder or above from recognized university.
• At least 1 to 3 years of relevant working experience servicing institutional clients preferably in the asset management industry.
• Good knowledge of financial products.
• Possess good verbal and written communication and interpersonal skills.
• A good team player and can easily build rapport with internal and external stakeholders.
• Good proficiency in English language.
• Proficient in MS Word, MS Excel and MS PowerPoint.
• Resourceful, shows initiative and demonstrates a positive learning attitude.

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Please be informed that only shortlisted candidates will be notified.