MUHAMMAD NABIL THAQIF BIN YAAKOB
Client Lifecycle Governance Case And Exception Management
Summary
Highly driven with 6 + years of experience in the Client Servicing and Operational domain within the Wealth Management Industry. Experienced in identifying opportunities for process and operational improvement within the client support structure with the goal of implementing core customer care standards. Dedicated and hardworking with internal drive to deliver excellence. Tactical team builder with strong background in training and team development. Experienced in leading and working on Operational efficiency projects across middle and back office domains. Training and development Client Life Cycle management(Onboarding, Account Maintenance) and Corporate Action. Organized and dependable candidate successful at managing multiple priorities with a positive attitude. Willingness to take on added responsibilities to meet team goals.
Overview
7
7
years of professional experience
6
6
years of post-secondary education
Work History
Client Lifecycle Governance Case and Exception Man
Credit Suisse
12.2020 - Current
- Advisory for post account opening changes and new accounts being open within Client Lifecycle Governance on required documentation and processes such as Discretionary Portfolio Mandate (DPM), Currency account Opening, Digital Banking, Credit Suisse Invest Accounts, Fatca/AEI, Structural Changes and various other changes for High and Ultra High Net Worth Clients (Individual, Trust, Foundation, Corporate Clients)
- Work closely with various stakeholders from Financial Crime Compliance, AEI/FATCA Tax Compliance, Legal, Compliance Unit, Market Business Manager, Project Managers and various other units within the bank.
- Co-Lead in the team for Case and Exceptions, providing approval for Client Lifecycle Changes such as Domicile Change, Structural Change, Fatca/AEI, Mandate accounts, Trust accounts (Direct and Indirect), Foundation accounts and various other changes within CLMC for SG/HK/AU Accounts.
- Strong understanding of AML/KYC/Documentation Changes to be able to give exceptional approvals when needed.
- Working closely with RM in regards to sensitive client, high risk client, EEA Domiciled client on the Enhance Documentation Report (EDR) needed.
- Giving approvals on accounts that been block pending documentations and changes, such as Overdue IPQ, Passport, Certification of Documents and various others.
- Drafted framework for the team and guided 5 new joiners on case and exception handling and the lead for complex/exceptional approval cases.
- Heavily involved in Change the Bank /Run the Bank projects with the Client Lifecycle Space such as Front to End process Improvement, New system implementation, Remediation Exercise.
- Work closely with the L1 Team in Pune for expedited cases and train them along the way on handling of simple queries and also holding a checker role.
- Coordinate with CLMC line management to identify and ensure operational incidents/losses are reported timely in the Bank's incident/loss monitoring system and risk assess each event to ensure appropriate remediation action is taken.
- Maintain the team SLA, first respond within 2 hours of receiving the query and aim to close cases within 2 days if it an operational issue.
Client Servicing Specialist in Corp Action and CLM
UBS AG
08.2018 - 12.2020
- Advisory for Client Lifecycle Maintenance and Corporate Action where we will perform investigations, escalating cases to various stakeholder when appropriate, providing updates and feedback and action as a dedicated point of service escalation for issue for High and Ultra Hight Net worth Clients.
- In Corporate Action, work closely with Custodian(Internal & External) and various stakeholders to ensure Corporate Action Events( Stock Split, Dividends ,Rights Issue, Merger, Spin Off, Short Date Line events) are published in timely manner.
- Lead for handling queries and escalation regarding Client Account Maintenance such as Change in account structure, Account Mandate, Change in Domicile and various others
- Work with custodian to ensure the notifications /query are addressed to the clients with all the relevant details such as Hard Dateline ,Payment Dates and various others.
- Strong understanding of Swift Message such as MT566/MT564.
- Work closely with various line managers to improve first respond by 70% by doing investigations on the cases that come through and inform on the needed actions to be done by the various teams.
- Provide guidance to Front Office Teams by engaging quarterly meeting with the Markets Expert Team leaders and hold monthly consultation with the Back Office Operation, Legal and regulatory departments to ensure all party are aware of the latest procedural and policy changes.
- Work with the BAU functions to understand the pain point when processing the documents and engaging with the front office on the feedback received to be able to improve the overall timeliness and service to clients.
- Increase Assists Ticket Rating with a consistent rating of 90% in doing Monthly Quality Assurance for 10 Team Members.
- Trained 3 new Joiners who have become topics specialists in addressing business questions with a high precision pace through recognizing workflow processes and knowledge of broad topics.
- Analyzed current work flow, known inefficiencies in existing processes and forms and tracked performance following implementation of enhancements with discussion with different stakeholder and seeing the process through from front to end.
Client Lifecycle Maintenance Specialist
UBS AG
08.2017 - 08.2018
- Supervised and led employees in Account Maintenance changes in various topics such as Change in Domicile, Passport Update, Change of Name and various others.
- Reduce processing time of documentation from 5 days to 2 days from point of submission.
- Work closely with various middle office teams on escalations and understanding the various processes with CLMC.
- Back Office operational role focusing mainly on Regulatory and Document control on Account Management for Singapore and Hong Kong based accounts.
- Escalate high risk and overdue deferral to Business Heads and AML compliance in timely manner.
- Involved in FATCA Remediation and updating Client FATCA status, understanding of SCAP and Sensitive Countries
- Working closely with Front Office on the needed client documentations to maintain a high standard of accuracy.
Associate Analyst
Pan Asia (UBS AG), Singapore
12.2015 - 07.2017
- Identified operational efficiency opportunities to support long-term growth plans.
- Take ownership of relevant key controls inventory and ensure they are up to date
- Work on migrations projects such a new system implemations where we will do the reconciliation of date and sanity checks
- Work on Date Remediation on client KYC details.
- Performed quality assurance to meet appropriate standards and facilitate improvement of processes.
Education
Bachelor's Degree - Economics And Finance
Singapore Institute of Management(RMIT)
Singapore 08.2012 - 04.2015
Diploma in Health Sciences - Health Sciences
Ngee Ann Polytechnic
Singapore 04.2007 - 04.2010
Skills
AML/KYC/EDD
Timeline
Client Lifecycle Governance Case and Exception Man
Credit Suisse
12.2020 - Current
Client Servicing Specialist in Corp Action and CLM
UBS AG
08.2018 - 12.2020
Client Lifecycle Maintenance Specialist
UBS AG
08.2017 - 08.2018
Associate Analyst
Pan Asia (UBS AG), Singapore
12.2015 - 07.2017
Bachelor's Degree - Economics And Finance
Singapore Institute of Management(RMIT)
08.2012 - 04.2015
Diploma in Health Sciences - Health Sciences
Ngee Ann Polytechnic
04.2007 - 04.2010
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