Serving You Since 1975

Executive, Client Onboarding

Role Overview:

We are seeking a proactive and detail-oriented Client Onboarding Executive to join our team. This role is critical in ensuring seamless onboarding, account maintenance, and regulatory compliance for our clients. The ideal candidate is organized, analytical, and able to thrive in a fast-paced environment.

Responsibilities:

Onboarding & Account Maintenance

  • Manage end-to-end onboarding of new clients, including the thorough review of KYC documentation in accordance with internal policies and regulatory standards.
  • Liaise with internal stakeholders and business units to address outstanding documentation or due diligence requirements.
  • Conduct customer screening using internal and third-party tools to assess risk and ensure compliance.
  • Escalate high-risk clients to senior management for further review and approval.
  • Handle client updates and documentation changes as part of ongoing account maintenance.
  • Perform periodic and event-driven reviews of existing client profiles, as assigned by the Head of Department (HOD).
  • Respond to onboarding and maintenance-related inquiries from business units promptly and accurately.

Trading Limit Review

  • Evaluate ad-hoc trading limit requests submitted by business units and prepare documentation for senior management approval.
  • Conduct periodic reviews of clients’ trading limits to ensure appropriateness based on their activity and risk profile.

Licensed Representative Application & Monitoring

  • Review applications for new licensed representatives and perform background checks to ensure candidates meet regulatory “fit and proper” standards.
  • Monitor and ensure ongoing compliance of licensed representatives with annual fit and proper requirements and internal governance protocols.

Requirements:

  • Diploma or Degree in any discipline
  • Prior experience in client onboarding, compliance, or operations within the financial services sector is preferred
  • Strong attention to detail and ability to work under tight deadlines
  • Effective communicator with strong interpersonal skills; able to collaborate across teams
  • Self-motivated, with the ability to handle multiple tasks and prioritize effectively in a dynamic environment
  • Familiarity with KYC, AML, and regulatory requirements under MAS or similar regulatory bodies is advantageous
  • Proficiency in tools such as Python, Excel Macros, or Tableau is a plus

If you are looking for an environment of growth and opportunities, please write in with a detailed resume stating the position applied and expected salaries to the HR department via recruitment@phillip.com.sg.

We regret that only shortlisted candidates will be notified.

Brought to you by Phillip Nova Pte Ltd (A member of PhillipCapital)