Vice President - Private Wealth Middle Office Compliance Officer - SMBC
Core
Ensures smooth operation of client due diligence, regulatory controls, and reporting for high-net-worth clients while acting as a key interface between front office, operations, and compliance.
Role type
Senior IC compliance and middle office officer
Builds
Client due diligence frameworks, regulatory reporting, and operational controls for Nikko Private Wealth
Domain
Banking / Wealth Management / Financial Crime Compliance
Required skills
KYC/AML/Sanctions review, client onboarding, product suitability assessment, regulatory reporting, process automation, controls development, CRM management, training delivery
Preferred skills
Change management, cross-departmental collaboration, gap analysis, threshold tuning
Technologies
Microsoft Office, CRM systems
Responsibilities
Perform KYC/AML/Sanctions reviews for new and existing clients; Evaluate product suitability and tax classification; Prepare and maintain compliance materials and guidelines; Respond to client queries and coordinate follow-ups; Support front office pipeline prioritization; Develop and monitor key regulatory controls; Maintain updated client records in CRM systems; Collaborate with internal teams for seamless client service; Plan and coordinate training on KYC and compliance; Assess compliance with AML/CFT and sanctions requirements; Investigate potential sanctions and adverse news; Prepare management information and regulatory submissions; Liaise with internal stakeholders and external service providers.
Seniority
Senior, hands-on IC