WM CLM Data Maintenance Support - Manager
- Client On-Boarding team’s goal is to ensure a global and consistent “first service” is rendered to the clients.
- Supervision of the Daily Operations of team’s functions, ensure practices are adhered to bank’s standard procedures and guidelines with an emphasis in the area of compliance.
- Keeping abreast with the changes in regulations (site, regional, global, HO), assess its impact.
- Manage implementation whilst maintaining sound work processes and integrity of client data.
- Review and manage process change to ensure risk controls in relation to client static data are as robust as possible.
- Being Regional Support team, we must maintain and review workflows for consistency, in accordance with site specific (SG/HK) requirements and ensure they are understood by site / cross border staff.
- Verify controls in place with regards to safe custody of account documentation; potential operation risks associated with users’ requests to access database of sensitive client data, signatures and document images.
- Provide feedback and escalate issues to the appropriate functions and management.
- Drive delivery of training requirements and conduct training on data maintenance, banking services processes as required.
Administer request from internal regulators, internal stakeholders with respect to audit review.
Implementation and Process
- Manage a team that supports the execution of controls and tasks required in the Client Onboarding – Data Maintenance and Banking Services process, ensuring that client documentation, data capture activities and banking services accorded meet the Bank's policies, standards, and applicable local legal and regulatory requirements.
o Work closely with Internal Customers to provide support to on-boarding of clients to the Bank.
- Prepare regular reports for Management review (monthly/quarterly/periodic statistics).
- Ensure the Team meets the KPI.
- Uphold the highest standards of control, always keeping data integrity in mind while supervising day-to-day matters.
- Take ownership of relevant procedural documentation and ensure procedures are updated on a timely basis.
- Represent WM Client Onboarding-Support in regulatory & audit initiatives.
- Appropriate and confidential handling of client data and information
- Drive delivery of training requirements and conduct training on client onboarding processes as required.
- Ensure / Manage Regional Support following SG and HK time and public holidays.
o To Lead by Example.
o Work within a team – with an adaptable flexible approach, coordinate with team members and internal customers to resolve complex cases and address issues in a timely manner.
o Be open to change and support the vision of working in a fully transversal operation.
o Ability to share information and eventually train new team members.
Control and Risk
o Abide with operational risk procedures and escalate incidents to Management where necessary
o Contribute to the implementation and controls for daily processes and assist with the update of procedures
o Report and escalate concerns/ issues to Manager when required
o Liaise regularly with the following internal groups to ensure a smooth support process: WM COB SG/HK, Compliance, Legal, FO teams, Client on-boarding and due diligence team in Singapore/Hong Kong or other support teams within WMHK/WMSG that have any involvement in the Client On-boarding process.
Comply with BNPP Permanent Control Activities
- Direct contribution to BNPP operational permanent control framework.
- Contribute to the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan
- Comply with regulatory requirements and internal guideline
- Contribute to the reporting of all incidents according to the Incident Management System
- Minimizing operational failure, including but not exclusively, the risk of fraud, by helping to devise, and by implementing, sufficient regular controls
Escalation to management and/or Permanent Control (or Compliance as appropriate) upon issue being identified
Qualifications and Experience:
- Minimum 5-6 years of relevant working experience
- Bachelor’s level degree or professional qualification
- Minimum 2-3 years working experience in people management and have an excellent track record in leading a team
Essential Technical Knowledge/Skills :
- Understand the principles and be familiar with Client Databases’ Requirements Individuals/ Corporates/Holding Companies/Trust Accounts.
- Essential knowledge and experience in Client Data Management experience.
- Fluent in English (spoken and written).
- Excellent communication and interpersonal skills.
- Must possess strong fundamental and technical skills, awareness of operational risk.
- Competent in MS Office tools, particularly MS Excel.
- Understanding of Compliance and Regulatory influences within the Client Onboarding process.
Other Value-added Competencies:
- Team player, independent, hardworking, eager to learn and attention to details
- High adaptability to changing environment
- Ability to work under pressure, lead people through change and yet execute in a precise and timely fashion
- Strong analytical and strong risk sense
- Possess excellent communication skills, confident corresponding with Front Office partners and is an efficient solutions provider