【クレディ・スイス証券】Client Onboarding Officer
仕事内容
Your field of responsibility
Taking ownership of the client onboarding and post onboarding process across all jurisdictions globally and initial due diligence activities bringing potential relationships from ‘prospect client’ and existing clients to ‘ready to trade client’ in the shortest possible time, minimizing risks, delays and maximizing the quality standards ensuring full compliance with all relevant requirements.
Facilitating and coordinating with relevant FO and Business COOs new business initiatives.
Advising Japan APAC IB (Markets) sales personnel and direct clients on any client onboarding and maintenance requirement globally (e.g. KYC, account opening, tax and suitability) and proactively solution to the extent permissible, issue impact a client onboarding request in relation to (a) client identification and compliance requirements (b) Credit or Legal issues (c) static data issues (d) product system (OPP).
Handling KYC case preparation for low and high risk client onboarding and maintenance requests including (i) complex clients (e.g. hedge funds, trusts and unregulated entities, insurances, sovereign and any entities based in ‘high risk’ jurisdictions) (ii) accounts with booking entities regulated in multiple jurisdictions and (iii) clients trading products that present credit, compliance and legal implications attracting enhanced regulatory scrutiny.
Performing screening activities linked to the client onboarding requests and facilitating relevant dispositioning by FO and potential escalation to Compliance for clearance in regards to PEP, Rep. Risk etc.
Ensuring high standards of Ethics and Control be maintained during the performance of day-to-day activities, reporting / investigating potential regulatory breaches.
Assisting in ad-hoc / ongoing regulatory projects and performing relevant controls embedded in the client onboarding process.
Producing relevant MI pertaining to IB COB activities, feeding KPI, KRI and APAC governance metrics.
Your future colleagues
The IB COLM Japan Team as part of the IB Client Office (“IB COLM”) function , serves as a trusted business partner to sales staff in IB (Markets), working with external clients and internal stakeholders, to advise on, facilitate, monitor and prioritize all relevant tasks and processes required to onboard new clients or maintain/extend an existing client relationships, whilst minimizing time-to-market and optimizing the commercial impact through superior client service, accountability, compliance and transparency.
The department values Diversity and Inclusion (D&I) and is committed to realizing the firm’s D&I ambition which is an integral part of our global cultural values.
Your new employer
Find a new home for your skills, ideas, and ambitions. Credit Suisse offers you the ideal environment to progress your career, attractive benefits and excellent training.
We are a leading wealth manager with strong global investment banking capabilities founded in 1856. Headquartered in Zurich, Switzerland, and with more than 45,000 employees from over 150 nations, we are always looking for motivated individuals to help us shape the future for our clients.
Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success. Our bank provides reasonable accommodations to qualified individuals with disabilities, as well as those with other needs or beliefs as may be protected under applicable local law. If you require assistance during the recruitment process, please let your recruiter know.
Your Skills And Experience
This role will support activities including
IB Client Onboarding, Periodic KYC Refresh and Event Driven Reviews
initial due diligence / review of KYC, tax and suitability documentation pertaining to new clients being onboarded or whose relationship is being extended
review and facilitate dispositioning of screening results in coordination with FO client relationship owner and compliance
processing and coordination and performance of all relevant 4 eyes check controls as well as qualitative and quantitative contribution to various business initiatives and related client outreach touching upon client relationships of varying levels of complexity
supervise and train junior members of the team
応募資格(必須経験など)
10+ years of experience for degree / non-degree holder
Previous experience gained in an international financial institution (investment banking), securities/trading house or Asset Manager.
Familiarity with AML / KYC / Regulatory regimes and process in Japan
Fluent in Japanese - written and spoken
Fluent in English - written and spoken
Familiarity with investment banking and corporate finance products (such as Fixed Income and Equities Markets products, M&A, IPO, DCM, ECM etc.)
Self starter with good project management skills
Accurate and keen on detail
Understands the value of diversity in the workplace and is dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work