|Desired Industry: Banking/Mortgage
|Desired Job Location: Markdale, Ontario
||Date Posted: 7/11/2019
|Type of Position: Full-Time Permanent
||U.S. Work Authorization: No
|Job Level: Experienced with over 2 years experience
||Willing to Travel: Yes, More Than 75%
|Highest Degree Attained: Masters
||Willing to Relocate: Yes
Result oriented professional with 7+ years of experience in AntiMoney Laundering, KYC Periodic Review, Client Onboarding, Investment banking, Client reporting, Commercial loans, project coordinator and proven ability and effectiveness in managing the team, handling deadlines and achieving accuracy.
Perform periodic KYC reviews on risk based schedule (High, Medium and Low respectively).
Incorporate compliance guidelines into account monitoring activities.
Gathering supporting evidence needed for authorised investigations.
Document validating for existing clients to ensure adherence and compliance to industry.
Coordinate with various business support team or RMís about the Clientís information.
Verifying clientís information like TIN, EIN, SSN, Physical business address etc.
Ensure that all client sensitive data and information are handled properly.
Follow robust onboarding customer classification compliance under MiFID, FATCA and EMIR.
Monitoring customer's transactions against their expected behavior and recorded profile as well as that of the customer's peers.
Initiate an EDR for a case whenever an event occurs.
Investigate on PEP hits identified by Shared Services team if found against the World Check records by using Lexis Nexis or other valid public sources to discount the hits.
Contacting BU AMLO for blanket approvals or any other business sign offs if required.
Responsible for ensuring and reviewing all the KYC requirements for the new/existing clients.
Allocate cases for review to the team memebers.
Assisting junior associates on a timely basis about the KYC norms in industry specifics.
Perform upfront reviews wherever required for deliverables and as advised by the team lead.
Created Macros for the team and online checklist to avoid use of printing papers.
Planning and executing skeletal staff on holidays to make sure BAU running.
Preparing monthly team performance report and taking part in MSR meetings.
Validation of all the reports and ensure accurate data are reflected on reports and distribute them to the clients.
Coordinate with various business support team to ensure ssga products and client mandates are installed in system for returns calculation and reports.
Sourcing and accumulating fund data for manual fund factsheet that are not supported by internal systems.
Aggressively follow with concerned team to ensure all books of accounts are closed for reporting period in order to meet the deadline of reports.
Creating custom Indices for Portfolio Managers.
Validating Benchmarks for Portfolio Managers in case of discrepancy.
B.com : Bangalore University - 2009
M.B.A : Marketing, Visvesvaraya Technological University - 2012
Staffing and Scheduling
Consolidation of production sheet and allocating the work to team members.
Quality Management, training new joiners and feedback the junior associates.
Keeping track of leaves/Trainings/access to various applications of individuals in the team.
Preparing MOM discussed in the meeting and updating the same in sharepoint.
Interacting with the clients through video conference about the process.
Preparing monthly team performance report.
Available upon request.
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