Customer Due Diligence Specialist

2 months ago

London, Greater London, United Kingdom targetjobs Hired Full time

About Our Client

Our client is a well-established financial institution, a subsidiary of a prominent Japanese bank and part of a leading Japanese financial group. With over 35 years of experience, they have built a strong reputation in securities dealing and lending. Operating across London and Singapore with over 120 employees, they are a dynamic and fast-paced company focused on growth in Sales and Trading, alongside operational support. They strive to create a diverse, transparent, enthusiastic, and progressive work environment.

Your Role

As a Customer Due Diligence Specialist, you will play a crucial role in ensuring compliance with regulatory requirements and mitigating financial risks. Your responsibilities will include:

  • Conducting thorough reviews of customer due diligence cases, including onboarding, trigger reviews, ongoing reviews, account reactivations, and sub-account management.
  • Ensuring all quality assurance feedback from approvers or the Head of CDD is promptly addressed.
  • Collaborating with clients to obtain necessary documentation and respond to inquiries.
  • Effectively managing caseloads to prevent any overdue reviews.
  • Maintaining clear communication with the Front Office (Salespeople and Traders) regarding account setup, management, and any arising queries.
  • Liaising with Compliance and other stakeholders to resolve CDD-related queries efficiently.
  • Reporting any issues or concerns to the Head of CDD in a timely manner.
  • Adhering to all regulations and controls set by MUTI and external regulatory authorities.
  • Taking responsibility for complying with AML, CDD/Sanctions requirements and escalating any breaches of Head Office policies and procedures or local regulatory requirements.
  • Maintaining accurate and organized client files within MUTI systems and in accordance with established procedures and regulatory requirements.
  • Staying updated on all MUTI AML frameworks, policies, and procedures.

CDD Approver Responsibilities:

  • Ensuring that each case meets local and Head Office standards/requirements.
  • Conducting trigger reviews during quality approver assessments and addressing identified risk events.
  • Verifying that any waiver requests or manual overrides align with established procedures.

Project Work:

  • Contributing to the updating of departmental policies and procedures.
  • Assisting with assigned projects as directed by the CDD Manager.
  • Completing relevant trainings and integrating risk prevention measures into daily tasks.

Additional Responsibilities:

  • Providing support to the Head of CDD and Head of Trading with regular and ad-hoc queries.
  • Collaborating with the Compliance department in reviewing adverse media and sanction cases.
  • Addressing ad-hoc inquiries from the business and providing guidance on CDD matters.

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