Conduct customer due diligence in line with exchange and regulatory requirements; verify authenticity, completeness and compliance of customer identity, address, source of funds and supporting documents.
Validate customer information against official records, automated screening and third-party verification to ensure legality and accuracy.
Investigate and upscale suspicious transactions and abnormal customer profiles for AML monitoring and reporting.
Support internal risk, legal and external regulatory audits and inspections.
Enter review results into the customer management system accurately and timely; maintain data integrity and security.
Periodically check document validity, manage updates and ensure proper archiving.
Identify high-risk customers and abnormal documents; prepare daily, weekly and special review reports and issue risk alerts.