Job Summary: 

• Provide tracking capability to oversee internal and external exam management, including the execution and coordination of exam readiness.
• Support the delivery of internal or external audit milestones.
• Deliver Management Information and KRIs/KPIs.
• Establish close working relationships with Client Onboarding Managers, Audit, Financial Crime Compliance and other Control groups.
• Face off with Senior Management and Senior Committees/Forums.
• Define and execute sample testing to assess adherence to policy and procedures.
• Provide support to any assigned independent assessments to help ensure consistency and quality throughout the department.
• Work simultaneously across multiple projects and targeted testing reviews with a high degree of quality and accuracy.
• Review data to identify key issues and trends and/or control gaps and drive and champion solutions.
• Synthesize complex and/or diverse Client Onboarding information to ''tell a story'' in a digestible manner that effectively helps prioritize issues and aids in executive understanding.
• Act as a subject matter expert and provide strategic guidance.
• Promote a positive, inclusive and diverse work environment.

Skills on Resume:

• Exam Coordination (Hard Skills)
• Audit Management (Hard Skills)
• Kri Kpi Reporting (Hard Skills)
• Data Analysis (Hard Skills)
• Control Testing (Hard Skills)
• Stakeholder Engagement (Soft Skills)
• Executive Communication (Soft Skills)
• Strategic Advisory (Soft Skills)

Job Summary: 

• Responsible for conducting in-depth review and analysis of legal documentation and other related information.
• Ensure the appropriate Customer Due Diligence (CDD) on consumer or commercial customer relationships is conducted per bank policy and applicable regulations.
• Review all account documentation submitted for newly established business and consumer accounts in a timely fashion.
• Review system data provided by business partners for accuracy and consistency with the documentation provided.
• Communicate necessary changes to the line of business (LOB) and follow through to ensure the requested documents/changes have been submitted.
• Maintain accurate and complete files for all reviewed client documentation.
• Conduct necessary OFAC, PEP, and Adverse news screenings, including resolving any false positives and escalating.
• Assist in re-certifying customers based on risk profile.

Skills on Resume:

• Legal Document Review (Hard Skills)
• Customer Due Diligence (Hard Skills)
• Account Documentation Review (Hard Skills)
• Data Accuracy Validation (Hard Skills)
• OFAC PEP Screening (Hard Skills)
• Risk-Based Recertification (Hard Skills)
• Regulatory Compliance (Hard Skills)
• Business Communication (Soft Skills)

Job Summary: 

• Analyse and assess customers from a financial crime risk perspective to ensure that all relevant regulations have been complied with.
• Accountable for risk assessing customer information based on various factors and behavioural activity to ensure that they are in line with the risk appetite of the bank.
• Conduct Enhanced Due Diligence on higher risk clients, highlighting and mitigating risks.
• Make retain or exit recommendations.
• Review client files in order to detect atypical activity and assist in raising a Suspicious Activity Report (SAR).
• Work closely with client stakeholders to suggest efficiencies.
• Identify key project risks, whether stated or not, and manage them accordingly.
• Build and maintain strong client relationships.
• Support team in maintaining and exceeding set project deadlines.

Skills on Resume: 

• Financial Crime Risk (Hard Skills)
• Risk Appetite Assessment (Hard Skills)
• Enhanced Due Diligence (Hard Skills)
• SAR Investigation Support (Hard Skills)
• Client File Review (Hard Skills)
• Stakeholder Collaboration (Soft Skills)
• Risk Management (Soft Skills)
• Relationship Management (Soft Skills)

Job Summary: 

• Analyse large amounts of data and develop well-reasoned recommendations.
• Utilize data analytics tools, including Alteryx and Tableau.
• Drive, build and deliver queries using Analytics tools based on requirements from Governance/Steering Committee within the given SLA.
• Review and interpret complex data to analyse patterns and trends in the data sets.
• Maintain discipline around sharing updates with Stakeholders, circulating Minutes Of Meetings, archiving and maintaining a record of all updates.
• Engage and collaborate with Stakeholders.
• Understand user requirements and deliver as per expectations, leveraging data analytics tools like Alteryx, Tableau, IDQ, Signavio, Visio, etc.
• Work in fast fast-paced/time-sensitive environment to support a team.

Skills on Resume:

• Data Analysis (Hard Skills)
• Analytics Tools Usage (Hard Skills)
• Query Development (Hard Skills)
• Data Interpretation (Hard Skills)
• Stakeholder Reporting (Hard Skills)
• Requirements Analysis (Hard Skills)
• Stakeholder Collaboration (Soft Skills)
• Time Management (Soft Skills)

Job Summary: 

• Gather/Analyse complex data and develop accurate conclusions with enough comprehension of the business to understand risk implications.
• Document process flows, SOPs, track and update changes and analyse changes in a timely manner and consistent with the firm's standards.
• Perform a sample review of processed volumes to ensure qualitative deliverables and identify process gaps.
• Facilitate forums to address the priority of reported enhancements and defects.
• Evaluate existing project management processes and look for areas of improvement.
• Assist with change management as new features are delivered through systematic integrations.
• Collaborate with the manager to establish and execute annual development goals aligned with overall department objectives.
• Participate in quality improvement initiatives and other similar exercises.

Skills on Resume:

• Data Risk Analysis (Hard Skills)
• Process Documentation (Hard Skills)
• Quality Assurance Review (Hard Skills)
• Process Gap Analysis (Hard Skills)
• Change Management Support (Hard Skills)
• Continuous Improvement (Hard Skills)
• Stakeholder Facilitation (Soft Skills)
• Team Collaboration (Soft Skills)

Job Summary: 

• Perform Know Your Customer due diligence in line with applicable AML Policies, Standards and Procedures, prior to account openings and on an ongoing basis.
• Complete the necessary forms required to support CIP/CDD.
• Screen client names and other parties in line with State Street Screening Standards.
• Source required CDD documentation independently from various internal and external sources (regulatory websites, company websites, Banker's Almanac, Lexis Nexis, World Check, etc.)
• Cooperate closely with Front Office employees to request all other required CDD documentation from customers.
• Complete Customer AML risk assessments using corporate compliance tools and methods.
• Meet agreed KRI/KPI targets for KYC profile reviews, escalating.
• Ensure all assigned tasks are correctly maintained on the designated tracking/reporting tool.
• Assist with external regulatory examinations or testing.

Skills on Resume:

• KYC Due Diligence (Hard Skills)
• AML Compliance (Hard Skills)
• CIP CDD Processing (Hard Skills)
• Client Screening (Hard Skills)
• CDD Documentation Sourcing (Hard Skills)
• AML Risk Assessment (Hard Skills)
• KRI KPI Monitoring (Hard Skills)
• Stakeholder Coordination (Soft Skills)

Job Summary: 

• Follow the speak up, listen up values, including timely escalation of AML concerns, suspicious activity, or any corporate policy breaches.
• Attend and participate in AML awareness training sessions to continue to enhance the quality of deliverables.
• Support ad hoc and/or strategic projects.
• Complete enhanced due diligence on high-risk customers/accounts.
• Perform EDD monitoring and PEP analysis.
• Assist team members with sourcing relevant information and documentation required for CIP/CDD completion.
• Assist in facilitating AML awareness training sessions across the team to continue to enhance the quality of deliverables.
• Demonstrate commitment to AML risk excellence through the timely and accurate completion of the firm's ''know your customer'' due diligence requirements, including for periodic/event-driven reviews and in respect of expected v actual transaction activity review.
• Maintain role-specific knowledge of the current anti-money laundering and financial crime risks and issues through completion of the annual AML Academy, and any other financial crime training deemed applicable to the role.

Skills on Resume:

• AML Escalation Awareness (Soft Skills)
• Enhanced Due Diligence (Hard Skills)
• EDD Monitoring (Hard Skills)
• PEP Analysis (Hard Skills)
• CIP CDD Support (Hard Skills)
• AML Risk Knowledge (Hard Skills)
• KYC Review Accuracy (Hard Skills)
• Team Collaboration (Soft Skills)

Job Summary:

• Assess client impact when regulatory and/or Bank KYC requirements change.
• Partner with KYC Relationship Management teams.
• Identify what information is available in the Bank prior to making client outreach.
• Contact clients to obtain required information not already provided to SVB in order to meet new requirements.
• Track receipt of required data and/or documents.
• Review received data/documents to ensure information shared meets regulatory requirements.
• Work with the client to address inquiries relative to information/documentation.
• Ensure information is gathered and submitted to the KYC Analyst team within expected timeframes.

Skills on Resume:

• Regulatory Impact (Hard Skills)
• KYC Partnership (Hard Skills)
• Client Data Review (Hard Skills)
• Information Gap Analysis (Hard Skills)
• Client Outreach (Soft Skills)
• Document Tracking (Hard Skills)
• Compliance Review (Hard Skills)
• Client Communication (Soft Skills)

Job Summary: 

• Perform KYC (Know Your Customer) and client documentation analysis in support of the approval of new customers and remediation, renewal, or amendments to existing ones, identifying and applying regulatory requirements of the different applicable jurisdictions and internal procedures.
• Review legal and commercial documents to understand client activities, structure, and associated risks.
• Obtain a general understanding of and execute AML (Anti Money Laundering) policies and internal procedures, in accordance with local and global principles.
• Address business questions and advise about onboarding requirements and status.
• Perform quality control activities by applying in-depth knowledge of procedures and systems.
• Ensure client records comply with all applicable rules, protecting the bank's reputation, assets, and financial integrity.
• Control and follow up of Pending Client Documentation by liaising with internal Lines of Business.
• Perform client searches and accurately communicate the information requested.
• Set up or verification of new clients to the LatAm local systems and Global Reference Data systems, considering current policies and evidencing the client's information in the record.

Skills on Resume:

• KYC Analysis (Hard Skills)
• Document Review (Hard Skills)
• AML Compliance (Hard Skills)
• Regulatory Interpretation (Hard Skills)
• Quality Control (Hard Skills)
• Data Verification (Hard Skills)
• Documentation Tracking (Hard Skills)
• Business Advisory (Soft Skills)

Job Summary: 

• Assist in building best-in-class AML/Compliance programs by providing support in the design, development, implementation, review and reporting on AML projects and initiatives, addressing certain AML risks and controls.
• Provide support in the development of solutions or systems to fix identified issues or gaps.
• Complete all assigned tasks in support of projects with strong attention to the quality and timeliness of expected results.
• Facilitate proper recommendation and escalation to management.
• Support the successful transition of projects to business-as-usual status.
• Produce standard and ad hoc management reports and presentations for assigned projects and initiatives.
• Present project decks to management.
• Coordinate with Risk Officer, Compliance Officers, Legal Advisors, and additional partners on LOB-specific and potentially on cross-LOB issues.
• Provide support for Exam/Audit/Compliance readiness.

Skills on Resume:

• AML Program Support (Hard Skills)
• Compliance Project Delivery (Hard Skills)
• Risk Control Design (Hard Skills)
• Issue Remediation Support (Hard Skills)
• Management Reporting (Hard Skills)
• Audit Exam Readiness (Hard Skills)
• Stakeholder Coordination (Soft Skills)
• Executive Presentation (Soft Skills)

Job Summary: 

• Provide documentation of processes and proof of compliance with the firm's policies and KYC Standards.
• Actively maintain up-to-date knowledge of regulatory and role-specific requirements.
• Gain a solid understanding of the AML/KYC risk management and control framework and monitor the application of best practices and control standards throughout all assigned tasks.
• Provide ad hoc support to senior team members.
• Provide personal support to new team members by facilitating shadowing and mentoring sessions.
• Make recommendations on assigned tasks and implement recommendations within the department to execute on tasks.
• Make decisions on day-to-day issues and refer to the manager for decisions regarding project direction/scope.
• Contribute as a team member on large-scale projects impacting the corporation or line of business (LOB).
• Work typically has an impact on the department/function.

Skills on Resume:

• Process Documentation (Hard Skills)
• Regulatory Knowledge (Hard Skills)
• AML KYC Framework (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Recommendation Implementation (Hard Skills)
• Decision Making (Soft Skills)
• Team Mentoring (Soft Skills)
• Project Collaboration (Soft Skills)

Job Summary: 

• Manage a pipeline of client reviews for key business lines/desks within the Global Markets and Investment Banking divisions.
• Assess client risk in line with the firm's Client Identification Programme, ensuring the correct client entity type is applied and all required KYC documentation.
• Validate KYC documentation and advise the business on AML/MiFID-related issues.
• Undertake PEP/sanctions screening and adverse news checks for all clients and related key principals.
• Complete a Client Risk Assessment, which includes all findings related to Sanctions, Politically Exposed Persons, Adverse News, High Risk Business and any other red flags that require escalation to local/regional Financial Crime Compliance.
• Manage relationships with Sales/Banking and the Operations Client Integration team in relation to new client requests, providing stakeholders with regular progress updates and offering advice and support with regard to KYC requirements.
• Work closely with colleagues within the corporate divisions (including Operations, Legal, Compliance and Credit) to ensure the smooth onboarding of new entities.
• Coordinate pipeline reviews and prioritisation of requests across the team.
• Manage ad-hoc projects relating to system enhancements, Client Lifecycle Management (CLM), and MI Reporting.

Skills on Resume:

• Client Review Management (Hard Skills)
• KYC Risk Assessment (Hard Skills)
• Documentation Validation (Hard Skills)
• PEP Sanctions Screening (Hard Skills)
• Adverse News Review (Hard Skills)
• Client Onboarding Support (Hard Skills)
• Stakeholder Management (Soft Skills)
• Project Coordination (Soft Skills)

Job Summary: 

• Perform the onboarding process or periodic review for Wealth Management clients, counterparties and other parties subject to rolling review.
• Perform hands-on tasks related to KYC and documents, update the system with relevant details, perform due diligence, and validate and upload documents.
• Ensure client information and documents are validated/updated correctly and timely in the systems for seamless feed to other internal systems and reporting (Internal, regulatory, etc.)
• Ensure client classification is applied in accordance with the prevailing rules and regulations in corresponding jurisdictions.
• Continuously work with other stakeholders such as Compliance, Legal, Sales, and Business Management on completing KYC and client information updates.
• Identify system/process enhancement focusing on controls and efficiency and work with the IT teams to implement.
• Identify upcoming client adoption requirements, collaborating in prioritisation of requests and ensure suitable processes are followed in a timely manner to complete the adoption process.
• Support the facilitation of the loan closing process among Counsel/Borrower, LDCM, Coverage, Credit/Market Risk, Finance, KYC, AFC and Loan Operations, ensuring all necessary approvals and closing requirements for booking transactions in internal systems.

Skills on Resume:

• Client Onboarding (Hard Skills)
• KYC Due Diligence (Hard Skills)
• Document Validation (Hard Skills)
• Client Classification (Hard Skills)
• System Data Management (Hard Skills)
• Process Improvement (Hard Skills)
• Stakeholder Collaboration (Soft Skills)
• Loan Closing Support (Hard Skills)

Job Summary: 

• Perform due diligence of new and existing clients covering a wide range of different client types, including Listed and Regulated, small/medium/large private and public companies, as well as more complex structures such as Special Purpose Vehicles, Co-operatives, Foundations and Funds, Governments, Joint Ventures, etc.
• Verify KYC documentation and perform the risk assessment of the Clients to be adopted/reviewed.
• Sign off on new client adoptions and periodic reviews.
• Manage New Client Adoption or Periodic Review stream.
• Ensure that all requests are approved in accordance with regulatory requirements and the Bank's internal policies.
• Manage exceptions, ensuring that all SLA's defined with the Business on timeliness and quality are adhered to.
• Ensure KYC documentation added to the KYC source systems is accurate and complete.
• Drive key relationships with the business and clients, including acting as the Single Point of Contact for KYC.
• Liaise with Sales, Bankers, Relationship Managers and the client directly to acquire missing client KYC documentation.

Skills on Resume:

• Client Due Diligence (Hard Skills)
• KYC Risk Assessment (Hard Skills)
• Client Adoption Approval (Hard Skills)
• Review Stream Management (Hard Skills)
• Regulatory Compliance (Hard Skills)
• Exception Management (Hard Skills)
• KYC Data Accuracy (Hard Skills)
• Stakeholder Relationship (Soft Skills)

Job Summary: 

• Serve as KYC Subject Matter Expert with Remediation efforts.
• Research identified Action Plan and/or Remediation populations to confirm scope.
• Identify regulatory and/or procedural gaps for improved efficiencies.
• Collaborate with Controls, Policy, GFCC, and senior managers to close out outstanding items.
• Collaborate with WKO Client Office teams and Business Partners.
• Prioritize the client's experience while completing KYC requirements.
• Document fulfilled KYC requirements in the system of KYC (CDD).
• Discuss and escalate with Compliance complex issues surrounding client types and structures, financial products and services, and other AML risk-related issues.
• Perform public and internal research to complete due diligence on client KYC profiles.

Skills on Resume:

• KYC Subject Expertise (Hard Skills)
• Remediation Analysis (Hard Skills)
• Regulatory Gap Analysis (Hard Skills)
• Cross-Team Collaboration (Soft Skills)
• Client Experience Focus (Soft Skills)
• KYC Documentation (Hard Skills)
• AML Issue Escalation (Hard Skills)
• Due Diligence Research (Hard Skills)

Job Summary: 

• Hands-on review of incoming documents and perform due diligence checks on all new account openings.
• Work with the front office to resolve all KYC-related issues.
• Provide professional advice to sales personnel related to the onboarding process of new clients and ongoing due diligence of existing clients.
• Liaise with Compliance and/or other teams in completing the due diligence process or other KYC-related matters.
• Assist subordinates in solving all KYC-related issues in BAU (business as usual).
• Assist the Head of KYC Team in supervising and managing the team.
• Handle/participate in ad hoc projects as assigned by the Head of Business Management Office from time to time.
• Liaise with the Client On onboarding Teams to ensure file acceptance and completeness, updating tracking/MI tools, and liaising with the Anti-Financial Crime (AFC) team.

Skills on Resume:

• KYC Document Review (Hard Skills)
• Client Due Diligence (Hard Skills)
• Onboarding Advisory (Hard Skills)
• Compliance Liaison (Hard Skills)
• Issue Resolution (Hard Skills)
• Team Supervision (Soft Skills)
• Project Support (Soft Skills)
• MI Tracking (Hard Skills)

Job Summary: 

• Support the global Client Operations team across all aspects of Client Onboarding, ensuring fulfilment of Anti-Money Laundering (AML), Know Your Client (KYC), and Account Opening requirements across EMEA.
• Provide SME level support to the oversight of internal and external exam management from a client operations perspective, including the execution and coordination of exam readiness, stakeholder and audit team interaction, management and execution of request for information (RFIs), including independent sampling and testing.
• Assess internal adherence to operational policies and procedures for the EMEA Client Onboarding team.
• Provide support for the ongoing risk assessment, control identification, management and development of the testing strategy and execution.
• Partner with Client Onboarding and Quality Officers.
• Understand and develop subject matter expertise, knowledge of the system and processes used in order to perform proper testing.
• Stay current with all regulatory changes and requirements around client KYC, Suitability, Documentation, and product or account opening procedural changes.
• Drive the KYC efforts in EMEA, which includes managing the KYC process for Origination and Advisory, client outreach, new client adoption, periodic review, remediation, prioritisation, and Management Information generation/management.
• Receive requests for client adoption/documentation to support the maintenance of the KYC due diligence for clients.

Skills on Resume:

• Client Onboarding (Hard Skills)
• AML KYC Oversight (Hard Skills)
• Exam Audit Readiness (Hard Skills)
• Risk Control Testing (Hard Skills)
• Regulatory Knowledge (Hard Skills)
• KYC Process Awareness (Hard Skills)
• Stakeholder Management (Soft Skills)
• Subject Matter Expertise (Soft Skills)