KYC/AML Analyst_Sanction Screening L4 (7.1-9 years)
Capco · Consulting & Professional Services
- India - Mumbai
- On-site
- Posted today
- Legal & Compliance
Responsibilities
Diligently carry out the 2LoD role in the account recertification and account opening process:
Reviewing client profiles to ensure conformity to internal BNPP and HK/SG regulatory requirements on Anti Money Laundering /Countering Financing of Terrorism /Customer Due Diligence standards, producing client risk assessments, due diligence analysis and assigning an appropriate risk rating
Assisting with the preparation and presentation of existing client relationships to SG/HK risk committee with the objective of obtaining business & compliance management approval to start/maintain the relationship with the client
Review client transactions for the period under review and flag out any suspicious transactions with regard to unknown 3rd parties; commercial nature etc.
Provide advisory support to the business with regard to resolving newly identified adverse media, link to sanction countries related issues, identifying potential Politically Exposed Persons etc
To provide advisory to Business on KYC and Financial Security matters.
To investigate, analyze, prepare memo, and ensure required protocol is followed through
for cases with KYC/AML/FS concerns.
Perform risk assessment and make decisions with regards to unblocking of accounts
Conducting investigations and assist in the filing of suspicious transaction reports (STRs) as appropriate
To assist with internal audits, regulatory inspection and investigations · Be familiar with relevant MAS and HKMA requirements.
To proactively identify potential gaps in the current processes/policies against regulatory requirements
To work with Onshore Compliance on derogations and other policies-related matters.
Collaborate with the larger compliance community, e.g. APAC Financial Security AML Advisory team.
To provide administrative support such as tracking of file status, updating of bankruptcy lists.
Perform any ad-hoc duties assigned by supervisor, including KYC in relation to client account closure
KYC review of bank counterparties, review of bank reference letters, review of client investment profile questionnaires
Technical & Behavioral Competencies
A team player with good relationship management and people skills
Able to work independently, perform under pressure with tight deadlines and multitasks.
A good knowledge of compliance framework with strong analytical skill.
Have strong written and communication skills.
Strong presentation skill
Microsoft Outlook, MS Excel, Word and PowerPoint
Specific Qualifications:
University graduate
Minimum 5 years of KYC/FS Compliance experience in Wealth Management/Private Bank with HK and SG exposure
Organized and meticulous