KYC Officer

The KYC Operation Team is responsible for supporting the firm's AML/CFT control framework, with a focus on customer onboarding, periodic review, and ongoing monitoring processes. The team works closely with Compliance, senior management, and internal stakeholders to ensure adherence to MAS regulations, exchange requirements, and internal policies, while maintaining effective controls over financial crime risks.

The Role This role sits within the Operation Team focusing on Customer Onboarding, Ongoing Monitoring and Periodic Review for retail, accredited investor, institutional clients.

The successful candidate will play a key role in ensuring compliance with MAS Notice SFA04-N02, as well as internal AML/CFT policies, by performing robust due diligence and supporting the business in managing financial crime risks.

Key Responsibilities

• Conduct CDD reviews for new and existing clients (individual and corporate), in line with internal policies and MAS AML/CFT requirements (SFA04-N02)
• Engage clients directly or via Business/Operations teams to obtain required KYC information and supporting documents (e.g. KYC questionnaires, SoW/SoF)
• Perform name screening, transaction/activity reviews, and assess AML/CFT and sanctions risks
• Conduct Enhanced Due Diligence (EDD) for higher-risk clients (e.g. PEPs, high-risk jurisdictions)
• Escalate material risk concerns on a timely basis and support risk assessment decisions
• Provide advisory support to internal stakeholders on CDD/KYC requirements and documentation standards
• Mentor junior team members and support quality review processes
• Identify opportunities to enhance KYC processes, controls, and operational efficiency

Requirements

• Degree in Business, Accountancy, Finance or a related field.
• Minimum 3-5 years of relevant AML/KYC experience in financial institutions, preferably in capital markets / brokerage environment
• Strong understanding of MAS Notice SFA04-N02 (AML/CFT for Capital Markets Intermediaries) and related regulatory requirement
• Familiar with client onboarding for securities, derivatives, and investment products
• Experience in handling high-risk clients, PEPs, and EDD cases
• Familiarity with screening tools (e.g. World-Check, Dow Jones, Refinitiv)
• Professional certification (e.g. ACAMS, ICA) is an advantage
• Comfortable and fluent in both English and Mandarin (to support client onboarding and documentation review)