Compliance Analyst

Location: Miami, Florida
Posted On: 9/15/2017
Job Code: 3216_CA_MFL
Job Description
Primary Activities: • Responsible to pre-fill the KYC profiles based on the documentation/information provided by the RM, including: o RMC Section (member data); o Running Client Screening Solution (“CSS”) and Factiva (Adverse Media) searches, if applicable; o Raising any open cases to KYC Risk Evaluation Management (“KYC REM”) team and/or Global Screening Operations (“GSO”) team, if applicable. o Completing Call/Visit Report based on information provided by the RM; and o Completing the AAM form and performing a comprehensive review of account activity. o Remediating client record execution errors • Reviewing and communicating with the RM/Maker throughout the submission process, including working with the RM/Maker if any portion of the KYC Profile is incomplete or rejected. • The KYC Maker is also responsible for remediating any valid errors and/or observations identified during Quality Reviews of their cases and following the appropriate dispute process for any disputed errors and participate in any corrective action that requires their engagement. • Escalating any potential or material AML or Sanctions risks discovered during on-boarding or maintenance of KYC Profiles to the RM, BUCO and/or ACRM. • Assist Relationship Manager with the completion of both scheduled (i.e. Periodic Review) and unscheduled reviews (e.g. HRAC, AIRs, Significant Changes, Batch Screening, KYC Deficiency Feedback Loop). • Provide fluent story relating customer source of wealth, source of funds, activity, and all other relevant information required by the IPB U.S. AML Procedures based on information provided by the Financial Professional. • Provide constructive guidance to the Financial Professional to successfully apply the IPB U.S. AML Procedures during completion of KYC activities. • Manage interaction with Financial Professionals and other staff members, as needed, in support of AML/KYC activities, maintaining a high level internal client service experience. • Comply with service level standards to complete KYC activities and address rejections made by Checkers. • Complete all required trainings pertaining to the function on a timely manner. • Accomplish assigned tasks (including time sensitive tasks) within defined targets and adapt to changing priorities
Category:Non-IT  code:new
Job Requirements
Management, Training, COM, CSS, AML, KYC, Reporting, Analysis, MS Excel, KYC reviewing, KYC documentation

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Contact Details
Dhaval Munshi
E-mail Address