Job Description

机构客户尽调专员

Hefei

Full-time

Finance / Investment - Compliance audit

Responsibilities

1、负责海外机构客户及交易对手的Customer Due Diligence（CDD）及Counterparty Due Diligence（CPDD）工作，包括开户审核、账户维护及现有海外客户的定期KYC/Ongoing CDD审查；
2、执行海外反洗钱（AML）相关审查、调查及监控工作，并支持其他临时合规项目；
3、协助更新并完善开户及尽职调查相关流程手册，确保KYC/CDD流程符合适用海外监管要求及公司内部政策；
4、整理和分析海外开户审核各相关环节的客户数据，协助产研优化前后端系统流程；
5、收集待开户海外客户名单，并跟进转化补充资料完成账户开通。
Responsibilities
1. Conduct Customer Due Diligence (CDD) and Counterparty Due Diligence (CPDD) for overseas institutional clients and counterparties, including account opening, account maintenance and periodic KYC/Ongoing CDD reviews for existing overseas clients;
2. Perform overseas AML-related reviews, investigations and monitoring activities, and support other ad-hoc compliance projects as required;
3. Assist in updating and enhancing account opening and due diligence procedural manuals, ensuring KYC/CDD processes are in compliance with overseas applicable regulatory requirements and internal policies;
4. Sort and analyze the data of overseas account opening process, and assist product R&D departments to optimize front-end and back-end system performances;
5. Collect the pending list of overseas clients and follow up with clients to complete the information supplement for new account opening.

Qualifications

1、大学本科学历，金融机构、证券公司、银行、基金管理公司合规、KYC、AML、法务、会计相关经验者优先；
2、熟悉KYC文件和AML监管准则，有海外机构客户尽调经验；
3、良好的中英文书面表达能力，能够熟练处理英文合规文件及与相关业务团队进行沟通；
4、细致严谨，具备较强的文件审核、风险分析及问题识别能力，能够独立处理复杂机构客户及尽职调查事项。
Requirements
1. Bachelor’s degree or above. Candidates with experience in compliance, KYC, AML, legal, accounting with financial institutions, securities firms, banks, or asset/fund management companies are preferred;
2. Familiar with KYC documentation requirements and AML regulatory standards, with experience in due diligence on overseas institutional clients preferred;
3. Excellent written communication skills in both Chinese and English, with the ability to effectively handle English compliance documents and communicate with relevant business teams.
4. Detail-oriented and rigorous, with strong capabilities in document review, risk assessment, and issue identification; able to independently handle complex institutional client due diligence and related matters.

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About Tiger Brokers

Tiger Brokers (Nasdaq: TIGR), founded in 2014, is a leading online brokerage with a focus on redefining global investing with technologies for the next generation.

Since our inception, the company has relentlessly offered a superior user experience to let everyone enjoy efficient and smart global investing, by bringing a multitude of quality financial products and services across brokerage, employee stock ownership plan (ESOP) management, investment banking, wealth management, investor community, and investor education in our pursuit of becoming a world-leading online brokerage.

We strive to elevate financial technology R&D to a new level. While we inherit the best traditions from the financial sector and blend them with the best minds of tech experts, we develop our own technology infrastructure—an aggregation that enables multi-currency trading of various products across markets, guaranteeing our reliable, secure, and scalable services are accessible to all with low latency.

Currently, we serve over 9 million users and 2 million account holders worldwide on our flagship platform “Tiger Trade”, own 59 licenses and qualifications in different markets, and have over 1,000 employees on the team in Australia, China, New Zealand, Singapore, and the US. In 2019, the company was listed on Nasdaq as UP Fintech Holding Limited under the ticker TIGR.

For more information about Tiger Brokers as a company, please visit itigerup.com. For inquiries, please contact press@tigerbrokers.com.

Industry

Finance & Insurance

Company Size

501-1,000 employees

Headquarters

Singapore, SG

Year Founded

Unknown

Website

itiger.com

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