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.