西门子Associate-Compliance Audit

• Review client KYC documentation and support CDD/EDD review for retail and institutional accounts, including identity verification, source of funds/wealth information, and completeness checks, in accordance with AML/CFT policies and regulatory requirements. • Conduct review of transaction monitoring, trade surveillance, name screening, and share transfer alerts on a daily and monthly basis and escalate alerts with potential financial crime risks for further investigation. • Assist in the preparation of investigation summaries by gathering relevant information, transaction data, and supporting documents. • Support the preparation and filing of Suspicious Transaction Reports (STRs) on a timely matter. • Provide AML/CFT guidance to internal stakeholders on documentation requirements and standard onboarding or review processes. • Assist in the preparation of routine FCC management information including statistics on onboarding reviews, alerts, and escalations. • Participate in FCC training sessions and stay updated on internal AML/CFT policies, procedures, and regulatory updates relevant to assigned tasks. • Support ad-hoc FCC tasks, internal reviews, audits, and regulatory information requests as assigned.

As a Senior Compliance Associate, your responsibility is reviewing the latest product information as per Standard Operations Procedures (SOP) and cross-checking it against the relevant regulatory documentation. Using various Amazon-specific tools and systems you classify the products to ensure they meet the necessary compliance requirements for availability on Amazon. Throughout the day, you work closely with your manager and the Process Experts and address any deviations from standard SOPs, seeking their guidance when necessary. You maintain detailed records of your assigned tasks and utilize standardized reports to prioritize your work, ensuring you meet Quality, Productivity and Service Level Agreement targets. You may identify opportunities for improvement and collaborate with partner teams to explore ways to reduce manual effort, such as automating reports using Excel queries. You share feedback on the team's SOPs, contributing to the ongoing refinement of the operational processes. You participate in knowledge-sharing sessions, contributing with your expertise and learnings. As a mentor, you may support peers by answering their queries and providing process-level training. Required Skills: • Ability to use Microsoft Excel tool as per role requirements (filtering and sorting in data sets, cell referencing, pivot tables, data validation, etc.) • Basic understanding of SQL, can self-service defined queries and make simple changes to retrieve data from a database • Knowledgeable in Customer Relationship Management tools, managing customer data and tracking interactions • Attention to detail and ability to analyze and identify patterns across data sets and information • Problem-solving skills, with the ability to find solutions through logic, intuition, creativity, and design thinking • Commitment to investigation, research, and diving deep to seek facts • Ability to understand, interpret, critique, analyses and communicate data

Your job responsibilities as a Sr. Compliance Associate-Quality Analyst may include: • Performs quality audits on a daily basis using Standard Operating Procedure (SOP) and achieves self-utilization, productivity and quality as per defined targets. • Must be able to comprehend SOPs with minimal support and identify opportunities. • Identifies anomalies through audits (SOP defects, Process gaps etc.). • Uses knowledge and identifies defect/s & preliminary root causes, explains the rationale • Proposes solutions on quality/productivity and work on milestones with managers • Expertise in research – finding specific information (eg: products, regulations etc) in a timely manner. • Prepares key insight trends and share reports on regular basis. • Provide feedbacks to the associates and close loop on audit observations. • Respond to stakeholders with guidance and flags any updates to Lead/Manager Skills: • Proficiency in verbal & written communication in Japanese and English • Good working knowledge of MS Office, MS Outlook; MS Excel. Proficiency is an advantage. • Strong attention to details. • Ability to analyze and identify patterns in large data sets. • Decision making aptitudes based on given guidelines and in ambiguous contexts. • Must be comfortable working with large data sets. • Very good knowledge and experience in internet navigation and research – finding specific information about products in a timely manner.

Your job responsibilities as a Sr. Compliance Associate-Quality Analyst may include: • Performs quality audits on a daily basis using Standard Operating Procedure (SOP) and achieves self-utilization, productivity and quality as per defined targets. • Must be able to comprehend SOPs with minimal support and identify opportunities. • Identifies anomalies through audits (SOP defects, Process gaps etc.). • Uses knowledge and identifies defect/s & preliminary root causes, explains the rationale • Proposes solutions on quality/productivity and work on milestones with managers • Expertise in research – finding specific information (eg: products, regulations etc) in a timely manner. • Prepares key insight trends and share reports on regular basis. • Provide feedbacks to the associates and close loop on audit observations. • Respond to stakeholders with guidance and flags any updates to Lead/Manager Skills: • Proficiency in verbal & written communication in Japanese and English • Good working knowledge of MS Office, MS Outlook; MS Excel. Proficiency is an advantage. • Strong attention to details. • Ability to analyze and identify patterns in large data sets. • Decision making aptitudes based on given guidelines and in ambiguous contexts. • Must be comfortable working with large data sets. • Very good knowledge and experience in internet navigation and research – finding specific information about products in a timely manner.