Assistant Manager - KYC/AML

Responsibilities

Review of institutional entities like PIV/PHC, Private Corporation, Mutual Funds, Hedge Funds, Broker/Dealer, Regulated Investment Manager, Collective Investment Schemes (CIS) etc. as per policy / jurisdiction for all KYC / CDD documentation!

Conduct open source search to find substantial KYC data / documents as per entity type, risk and country specific standards

Perform due diligence of documents according to business, entity and product matrix, including non-documentary verification

Review conducive ownership (BO) and key controller according policy and screen for sanctions and adverse media

Capture information and documents from internal system / teams as per established norms of bank to complete the KYC documentation per policy

Initiate and coordinate client outreach to fetch client documentations

Build a &lsquogap&rsquo assessment letter to summarize all missing documentation of institutional client for further to be released to client as per Global, Country and Business Unit specific KYC Procedure and further resolved by client sensitivity

Conduct false positive analysis on matches identified for counterparties alerted during watch list, sanctions and adverse media screening

Mitigate or call out true hits for AML adverse concerns and liaise for further action

Post documentation receipt further assess status of KYC refresh as per &lsquogap&rsquo letter and further coordinate for missing documents

Close Interaction with Customer/business as an SME in the area of AML / Compliance

Adherence to the critical metrics and business SLA&rsquos is mandatory

Responsible for preparing and reporting out their own SLA&rsquos.

Understanding the requirements of CDD, EDD (Enhanced Due Diligence) and CIP (Customer Identification Program) to ensure compliance under the regulations

Sound understanding of Sanctions, PEP and other watch list which is required to perform core job for alert adjudication in accordance with bank&rsquos policies

Qualifications we seek in you!

Minimum qualifications

University graduate in any subject area

Preferred qualifications

Sound business communication (in English) is must have

CAMS certified will be preferred

Good experience in MS-Office applications like Excel, Word, Power point, Outlook etc

Experience on tools like World Check, Banker's Almanac, Actimize, RDC, Lexis Nexis, Dow Jones and regulatory databases such as SEC Edgar search, Form ADV, FINRA, Company House and other local regulators and company registries

Exposure to AML with Institutional clients / Investment Banking and products