Periodic Review and Quality Assurance Analyst

The purpose of the role is to quality check and approve the customers across business divisions being on-boarded are in accordance with Group KYC and AML policies and procedures.
Responsibilities:

• Ensure that appropriate CDD / KYC and AML checks are carried out on all customers and in accordance with local regulatory requirements, in conjunction with the Financial Crime team
• Ensure that appropriate customer categorizations are carried out in accordance with local regulatory requirements
• Provide approval for client submissions once QC checklist has been fulfilled
• Provide feedback and ideas on how to Improve the QC checklist/process to ensure it is clear, concise and adheres to all requirements associated with KYC/AML
• Ensure that appropriate client documentation is captured to all customers and in accordance with local regulatory and any exchange requirements
• Ensure that the integrity of the static data inputted by the on-boarding team into the Client Data Base (aka PeopleSoft)
• Provide constructive feedback to On-boarding analysts and provide guidance where required to address any knowledge gaps
• Help instil best practices and consistency from Analysts in document submission to create a consistent model for document submission, naming and annotating
• Ensure that procedures are kept up to date
• To assist on any other ad-hoc reviews/projects/audits that the Operations department is required to carry out
• To work closely with the Financial Crime team
• Keeping management timely informed of issues/developments