About Business Line/Function
The India CoE Compliance Hub safeguards the Group’s reputation and mitigates risk across all business lines by delivering global compliance services; it is organized into divisions that support Trade Surveillance, Electronic Communications Monitoring, Transversal Risk Management, Personal Account Dealing, MIS, Project Support, the Group Compliance COO TOP function, and other core compliance activities, while collaborating closely with on‑shore partners in EMEA, AMER, APAC, Hong Kong and Singapore.
Position Purpose
The position provides end‑to‑end KYC/AML/CFT support for both Corporate & Institutional Banking (CIB) and Wealth Management, covering on‑boarding, recertification and ongoing monitoring activities; it acts as a 2 LoD liaison between the 1 LoD business units (CEFS and Wealth Management relationship teams) and on‑shore compliance teams,
ensuring that all client files meet global and local regulatory standards while enforcing the Wealth Management compliance on‑boarding and account‑recertification policies and procedures in Hong Kong and Singapore. By guaranteeing accuracy and strict adherence to compliance standards, the role underpins a robust, reliable compliance framework, safeguards the organization’s integrity, and fosters trust with stakeholders across both CIB and Wealth Management.
Responsibilities -
Core KYC / AML Operations (CIB & Wealth Management)
- Review and manage escalation forms, verify completeness of local add‑on documentation and ensure data consistency across 1 LoD submissions.
- Return KYC files to DDT when documentation is missing or data is inconsistent; re‑validate DDT analysis where required.
- Complete the Compliance Assessment Form and coordinate CPL decisions with secondary sites.
- Draft CPL opinions based on client data, liaise with on‑shore teams for validation and present to B&C; / CAC committees.
-