CDD Analyst - Securities Company

Location: Tokyo, Japan
Job Type: Temporary
Salary 1800 yen ~ + Commute
Specialization: Banking & Financial Services
Sub Specialization: Operations / Middle Office
Contact: Yoosun Jang
Reference: JO-2005-441222
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[Company Description]
Global Securities Company


  • Receive Client Due Diligence requests from the Team Lead and review the requirements
  • Perform Client Due Diligence on new and existing counterparties and enhanced due diligence where applicable
  • Undertake sanction and PEP screening on new and existing clients to determine if there are any PEPs/Sanction/AML risks
  • Apply MiFID/DFSA categorisation to new counterparties and review existing categorisations
  • Obtain background information on clients through on-line research and other relevant sources
  • Liaise with Front Office staff to obtain any outstanding Client Due Diligence documentation and on occasion, directly with clients
  • Review Client Due Diligence information held on existing clients to identify shortfalls and obtain missing documentation
  • Record account status and approval information in the appropriate databases/spreadsheets
  • Update the PEP register and complete PEP forms and ensure all PEP relations are approved by the MLRO and relevant Quality Assurance member of team
  • File / scan Client Due Diligence information
  • Be alert to conduct and reputational risk issues, specifically the risk of harm to client interests, market integrity and/or competition in financial markets due to inappropriate practices or behaviours across the firm


  • Act as subject matter expert in all Client Due Diligence issues
  • Take on roles and responsibilities as required by the Client Due Diligence Manager to ensure the successful operation of the Client Due Diligence Team


  • Experience of working in a Client Due Diligence role within Financial Services
  • Previous experience of working directly with the Front Office
  • Good working knowledge of Japan anti money laundering requirements
  • Experience of CDD requirements for a wide range of customers including private companies, government entities, unregulated funds, off shore jurisdictions and introducing brokers
  • Good organizational and time management skills
  • Ability to communicate relevant information in a timely and clear manner
  • Ability to work under pressure

[Employment Type]

[Work location]

[Working days]
Mon ~ Fri

[Length of contract]
~ 1.5 years( as Maternity cover)

[Hourly Salary and Transportation]
1800 ~ + Commute fee
(Experiences and skills will be considered)

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