Conducts reviews of client documentation/information obtained by client contacts within the business units. Ensures that information obtained is consistent with BSA/AML Policy and Procedures and satisfies regulatory requirements
- Assist in management, maintenance, and review of appropriate CIP documentation/client files.
- Follow up and track all documents required to satisfy CIP and new account requirements. - Escalate high risk and out of order records to AML Prevention Manager
- Assist in the administration and review of Client Risk Scoring, Client Identification and KYC documentation oversight/management requirements
- Assist Management with inquiries from US employees, management, internal and external auditors by providing guidance in a timely manner
- Assist in KYC review and refresh of current Client population as needed.
- Reviews and escalates client records that maintain an out of order status. – Document Deficient
- Significant regulatory, reputational and financial impact including cease and desist orders, loss of license and financial penalties in $mm
- As necessary, assist with special projects as assigned.
Knowledge and Experience:
- HS Diploma or equivalent
- 3-5 years recent relevant experience
- Prior experience with deadlines for time sensitive projects
- Prior experience in financial services
- Prior experience in documentation management
Skills and Competencies:
- Strong work ethic & attention to detail
- Proficient time management and organizational skills
- High level customer service and people skills