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07 August 2019
Job ID: BK-119559
AML/KYC Compliance

General Description:

This role is responsible to review the client profiles prior to account opening, ensures compliance with stipulated guidelines, mitigates risks for SCBJBTH and is knowledgeable of the onboarding process for new clients.  The role also includes the conduct of KYC on-going review of existing clients, and the overall supervisory roles for AML/CFT compliance.

Key Responsibilities


  • Review of client profiles prior to account opening and ensure compliance with AML/CFT laws, internal policies and guidelines and to mitigate any reputational risks for the Company.
  • Knowledgeable in on-boarding new clients for Individuals, Domiciliary Companies, Legal Entities, Financial Institutions, Trusts, External Asset Managers  (as applicable to the Company’s business model).
  • Procure relevant approval for on-boarding of new client according to client’s risk level.
  • Review of high risk accounts such as PEPs, Sensitive Industries etc.
  • Review of relevant account changes such as signatories, Power of Attorneys, changes in the source of wealth etc.
  • Providing guidance and training to Front employees on KYC related matters.


  • Conduct AML transaction reviews and related investigations, ensuring that proper explanation of transaction background and necessary documentation are in place.
  • Conduct investigation and respective follow up actions with RMs and Management including Filing of Suspicious Transaction Reports.
  • Monitor and closure of Sanction Alerts and blocking and unblocking of accounts for specific transactions.
  • Review of screening hits escalated by RM or Front staff.
  • Lead in preparation of compliance reports as pertaining to AML/CFT (including KYC/CDD)
  • Professional and Technical
  • At least 4 years’ experience in KYC On-Boarding and AML role in Private Banking or securities business.

  • Proven track record of providing Compliance advisory (KYC on-boarding and AML) to the business.

  • Strong knowledge of the AML/CFT laws, and relevant guidelines, including AML standards and requirements.

  • PC proficient: MS word, excel, PowerPoint.

Job Details:

  • Five-day work week
  • Performance bonus
  • Flexible working hours
  • Free shuttle bus
  • Medical insurance
  • Dental insurance
  • Life insurance

SCB-Julius Baer Securities Co., Ltd.
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