Client Document Management Officer

Account Services Officer

Responsibilities : 

Client/Account Portfolio Creation

• Handles the processing of day-to-day client and account creation and documentation activities.


• Reviews completeness of account opening documents received from Wealth Management Group. 


• Ensures approvals are in place from approving authorities for opening of account with incomplete documents/deficiencies.


• Approves notification/confirmation to clients on successful account opening. Preparation and review of Thank You Letters.


• Approves completeness of documents for turnover to requesting unit/Wealth Units where accounts are being referred for onboarding


• Reviews/Approves PB account applications in EO


• Review, approve and propagate customer information following BAS and Enterprise guidelines

Client/Account File Uploading and Creation in System

• Approves encoded/uploaded client/account on all application / system of records


• Processing of client/account level information in PB System of Records 

Others

• Prepares and liaises with internal/external parties/examination/inquiries (ie Audit, Compliance, Regulatory).


• Monitor compliance to policies/guidelines/directives.


• Perform other duties that may be assigned by Management.


• Respond and trouble shoot issues related to client and account creation


• Preparation and report generation related to client and account creation


• Trigger requirement for KYC review to WMG and monitor its status


• Participate on Enterprise and PB initiatives related to account creation and document management processes.