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KYC Associate- Sales Operations

Moodys Analytics
Not Specified
Not Specified

Job Description

Job Description
An individual contributor responsible for internal and customer facing support related to revenue recognition, regulations, projects and other onboarding items which are core knowledge areas for future career growth. Focuses on onboarding and other activities after handover to the Ratings team. Under the supervision of the VP Commercial Operations, works with internal functions to perform customer due diligence, identify and resolve issues causing unbilled and aged Accounts Receivable, produces reports to improve line of sight of the Sales function to issuer related issues and participates in projects focused on regulatory compliance and process improvement.
  • Perform Anti-Money Laundering (AML) and Know Your Customer due diligence (CDD) on new and existing relationships to the firm
  • Conduct customer risk assessment support customer onboarding and periodic reviews in full compliance with MIS policies and operational procedures as well as external regulatory requirements
  • Engage existing and new customers in the collection of detailed customer information and supporting documentation required for the completion of CDD
  • Investigate, escalate and resolve name screening monitoring alerts and queries
  • Ensure completeness of CDD information and supporting documentation
  • Perform enhanced protocols for high risk cases
  • Perform data quality assurance checks on case work
  • Work with Legal and Compliance to review documentation requirements and address exceptions to complete the CDD reviews
  • Update propriety systems with information and documentation obtained
  • Apply logical thinking, factual analysis and self-discovered research to substantiate an opinion as part of case work
  • Perform AML internal controls and escalations
  • Produce regular AML MIS reports for internal stakeholders and senior management
  • Work with the different levels of the Commercial Group, Legal and Compliance to ensure end to end efficiency and effectiveness in the Know Your Customer activities
  • Provide support to the Sales teams that improves the customer experience and ensures the Sales teams are able to focus on the relevant customer-related activities
  • Monitor mandates beginning at handover through to billing, provide customer support that improves the customer experience and ensures the Sales teams are able to focus on relevant customer related activities
  • Minimise Unbilled and Accounts Receivable in the Commercial pipeline work with Sales teams, GMO, Pricing and Billing to determine root causes and corrective actions
  • Provide customer support by handling inbound inquiries from Issuers regarding Intralinks, VAT, billing and other invoicing issues
  • Work with Legal to address customer requirements for post hand-over deal related documentation
  • Identify, recommend and work on implementation of opportunities to improve the MIS commercial processes and system data quality in order to improve the issuer experience
  • Build and maintain excellent relationships within various internal stakeholders, including Relationship Management, Legal, Compliance, Pricing, GMO, Billing and Collections
  • Participate in projects as assigned
  • Will be responsible for generating reports (e.g. Daily ratings report, creating/adjustment of VAT forms), providing support to the Relationship Management team on data gathering, data entry, and data clean-up related tasks

  • Good knowledge of capital markets and countries within APAC region
  • Well-developed IT skills including advanced Microsoft Office applications, PowerPoint and Advanced Excel
  • Excellent attention to detail
  • Strong research/investigative skills
  • Experienced problem-solver, with proven ability to be presented with issues/problems and be able to suggest solutions and ensure problems are resolved
  • Strong written and verbal communication skills
  • Ability to understand ratings, legal and compliance matters
  • Ability to develop negotiation skills
  • Ability to work under tight deadlines
  • Good interpersonal skills and the ability to build strong professional relationships at all levels
  • Highly organized and efficient, with ability to multi-task
  • Ability to report and work in multi-cultural team spread in various locations
  • Ability to work on own initiative, without the need for close supervision
  • Team player
Academic Qualifications / Work Experience
  • Minimum of Undergraduate / First Level degree preferably in finance, accounting, business or economics
  • Relevant work experience in AML customer due diligence and finance services industry
  • Knowledge of AML regulations in APAC region preferred
  • Experience in performing AML related controls and reporting
  • Strong verbal and written communication skills in English
  • Fluency in Mandarin language is required
  • Fluency in Korean language is advantageous

Moody's is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected veteran status, sexual orientation, gender expression, gender identity or any other characteristic protected by law.
Candidates for Moody's Corporation may be asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading and the requirements of the position. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.

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Moody's (NYSE: MCO) is a global integrated risk assessment firm that empowers organizations to make better decisions. Our data, analytical solutions and insights help decision-makers identify opportunities and manage the risks of doing business with others. We believe that greater transparency, more informed decisions, and fair access to information open the door to shared progress. With over 11,000 employees in more than 40 countries, Moody's combines international presence with local expertise and over a century of experience in financial markets. Learn more at . Moody's Investors Service is among the world's most respected and widely utilized sources for credit ratings and research. Our opinions and analysis on a broad range of credit obligors and obligations are valued around the world for their insight and rigor. At MIS, our workplace culture supports our mission to be the Agency of Choice for our customers, employees and future employees. Our Culture focuses on Excellence and embodies behavioral qualities such as Integrity, Responsiveness, Collaboration, Respect and Passion. Our people are our core asset and we look beyond outcomes to ensure that behaviors and interactions matter. Department MIS Commercial Group #LI-BZ1

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