The Commercial Sales Operations team within Moody's Investors Service is accountable for the end to end client onboarding, periodic review, trigger events and offboarding process after handover to the Ratings team. We partner with the Commercial Group, Legal and Compliance in the fulfilment of Anti Money Laundering (AML) and Know Your Client (KYC) requirements and provide direct support to the Sales teams on the customer onboarding experience.
Under the supervision of the VP Commercial Operations, the incumbent will work with internal functions to ensure efficiency and effectiveness in the KYC activities, produce reports to improve line of sight of AML function to senior management, and participate in projects focused on regulatory compliance. Scope of Responsibilities: Client Onboarding and Maintenance
- Perform AML and CDD on new and existing relationships to the firm
- Conduct customer risk assessment; support customer onboarding and periodic reviews in compliance with Moody's Investors Service policies and operational procedures as well as external regulatory requirements
- Investigate, call out and resolve name screening monitoring alerts and queries
- Perform enhanced protocols for high risk cases
- Perform AML internal controls and address blocking issues
- Produce regular AML reports for internal customers and senior management
- Engage existing and new customers in the collection of detailed customer information and supporting documentation required for the completion of CDD
- Update propriety systems with collected information and documentation to ensure completeness of CDD
- Perform data quality assurance checks on case work and name screening
- Lead and develop the team to ensure that the firm's AML procedures are followed and regulatory requirements are met
- Inspire team to apply logical thinking, insightful analysis and self-discovered research to substantiate an opinion as part of case work
- Ensure timely updates to next level supervision and internal collaborators on unresolved issues
- Act as business champion to ensure efficiency and effectiveness in the Know Your Customer activities
- Participate in CDD related process reviews to ensure compliance with regulatory or policy changes and improve service turnaround time
- Provide advice and resolve, potential AML issues arising across business unit and jurisdictions
- Drive process enhancement, identify and implement strategic improvements and enhancements to existing systems, policies and guidelines to reduce risk, improve efficiency and enhance customer experience
- Conduct regular AML training to KYC and Relationship Management teams
- Build and maintain excellent relationships within various internal collaborators, including Relationship Management, Legal, Compliance, GMO, Billing and Collections
- Support internal audits, external exams and Compliance testing
- Bachelor degree preferably in finance, accounting, business or economics
- Experience in AML, KYC, and CDD operations within financial services industry
- Good knowledge of capital markets and AML regulations within Asia Pacific region
- Experience in working with IT on system and reporting enhancements and testing
- Proficiency in advanced Microsoft PowerPoint and Excel applications is advantageous
- Strong verbal and written communication skills in English
- Fluency in Mandarin language is required due to client base
- Proficiency in Bahasa Indonesia, Bahasa Melayu, and Thai is advantageous
- Strong people leadership skills
- Excellent attention to detail
- Strong research/investigative skills
- Experienced problem-solver, with a track record of being able to resolve problems
- Ability to work under defined timelines
- Interpersonal skills to build strong rapport at all levels
- Highly organized and efficient, yet able to multi-task
Moody's is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected veteran status, sexual orientation, gender expression, gender identity or any other characteristic protected by law.
Moody's (NYSE: MCO) is a global integrated risk assessment firm that empowers organizations to make better decisions. Our data, analytical solutions and insights help decision-makers identify opportunities and manage the risks of doing business with others. We believe that greater transparency, more informed decisions, and fair access to information open the door to shared progress. With over 11,000 employees in more than 40 countries, Moody's combines international presence with local expertise and over a century of experience in financial markets. Learn more at moodys.com .
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Moody's Investors Service is among the world's most respected and widely utilized sources for credit ratings and research. Our opinions and analysis on a broad range of credit obligors and obligations are valued around the world for their insight and rigor.
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