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Due Dilligence Officer

Marque BNP Paribas Corporate & Institutional Banking
Niveau d'expérience 3 à 5 ans
Niveau d'études Niveau BAC+2/3
Postuler REF: CLI000968

Position purpose 

To conduct/review and analyze information procured and ensure that Know Your Customer (KYC) and Customer Due Diligence for new account opening and maintenance of existing client accounts is in compliance with local regulations as well as the Bank's global procedure.

KYC/Due Diligence officer must be familiar and proficient on KYC, AML/CFT knowledge with high sensitivity to legal, compliance and operational risks.

Ensure that the KYC Due Diligence package for client for new onboarding client or recertification of existing client is completed accurately and in a timely manner in form and substance as required for review by committee/Compliance/management.

Ensure proper procurement, maintenance and updates of KYC Due Diligence documentation in the bank’s systems e.g. KYC system, client referential system, etc.

Key Responsibilities


Primary tasks : KYC/DD-Static Data

1. Client Onboarding

-        Collection and analysis of basic identify information

-        Translate the constitutional documents and send it to Mumbai CIB Due Diligence team for performing name screening and KYC process

-        Input client's data and upload documents in KYC system

-        Liaise with Compliance for KYC approval, when needed(Compliance Intervention Process)

-        Handle the workflow until final sign off

-        Instruct Client Referential teams to open client account in the systems

-        To prepare Client Acceptance Committee (CAC) if the client represents any risk with respect to money laundering, corruption, reputation and to write the minutes of the CAC

-        To arrange eCAC when needed.

2. Amendment of Client Static Data

-        Verify the correctness of the amendment instruction

-        Data update and legal document upload in the systems

3. KYC Recertification

-        Check the KYC master list and select the client group that needs to be reviewed

-        Activity check and analysis of existing documents, obtain the new documents if any changes are observed.

-        Translate the constitutional documents and send it to Mumbai CIB Due Diligence team for performing name screening and KYC process

-        Input client's data and upload documents in KYC system

-        Liaise with Compliance for KYC approval, when needed(Compliance Intervention Process)

-        Handle the workflow until final sign off

-        Handle the CAC process (Document preparation and minutes)/eCAC when needed

4. Client Closing

-        Receive/ Verify the instruction to close account/ client

-        Liaise with Mumbai CIB Due Diligence team for performing adverse news

-        Liaise with HK team for checking activity

-        Liaise with Local Compliance for checking FSI

-        Initiate client closure in the systems

5. AML/CFT alerts management

-        To manage alerts arising from the bank's monitoring systems, such as SUN GCARS and escalate real violations to the relevant levels for approval

6. Monitor Client's Data Quality

-        To review and analyse information on new client onboarding and maintenance of existing client accounts for accuracy and compliance with the bank procedures and regulatory requirements

-        To support Head of Client Management for CCS preparation and weekly meeting with Business

-        To perform a back-up when any DDT staff is away

Permanent Control

-        Direct contribution to BNP Paribas Operational Permanent Control Framework

-        Awareness of ISO27001: 2013 Information Security – An Information Security Management System (ISMS) is an international standard that specifies the requirements for establishing, implementing, maintaining and continually improving this ISMS. It is the responsibility of all BNP Paribas staff in Bangkok Branch to contribute to this common objective. 


 

  

Competencies (Technical / Behavioral)

  • Familiar with constitutional documents for corporate and financial institution
  • Well organized
  • Attention to detail
  • Good communication skill
  • Fluent both in English and Thai (verbal and written communication)
  • At least 5 years experience in KYC/DD role
  • Bachelor degree in Business Administration or related field
Primary Location: TH-10-BangkokJob Type: Standard / PermanentJob: COMPLIANCE AND PERMANENT CONTROLEducation Level: Bachelor Degree or equivalent (>= 3 years)Experience Level: At least 5 years Reference: CLI000968