Overview of Role/Principle Responsibilities:
To act as subject matter expert on all core AML/KYC due diligence activities, perform robust quality assurance and handle advanced cases, directly supporting the Analysts and providing hands-on guidance.
Key Responsibilities:
1. Advanced Due Diligence Execution
Complex Entity Review: Review and perform due diligence on non-standard, complex structures (e.g., layered ownership, trusts, foundations, offshore vehicles), ensuring full transparency of control and beneficial ownership.
Enhanced Due Diligence (EDD): Lead EDD work on high-risk clients (e.g., PEPs, complex private equity structures, high-risk geographies):
Analyse and corroborate sources of wealth and funds through documentary evidence and public record checks
Conduct in-depth open-source investigations on high-risk profiles or negative media hits
Liaise with customer agreed escalation point for enhanced approval and/or further escalation
2. Screening and Risk Mitigation
Name Screening Oversight: Validate name screening s escalated by Analysts,
determine false positives and true matches, and make decisions on further escalation.
Sanctions/Adverse Media: Investigate and document all genuine matches against sanctions, PEP, and adverse media lists, with transparent escalation narratives and recommendations.
3. Risk Assessment & Rating
Risk Factor Analysis: Review risk ratings assigned by Analysts, ensure scoring methodologies are correctly applied, and correct or re-assess where necessary.
KYC Reviews: Lead periodic reviews of investor files. Re-assess documentation based on trigger events—ownership changes, negative news, jurisdiction upgrade/downgrade, etc.
4. Quality Control and Training
File Review: Execute rigorous file quality checks. Maintain QA checklists, document deficiencies, and confirm corrective action by Analysts.
Coaching: Provide hands-on coaching and process clarification to Analysts and act as the first point of contact for technical que
📌 Associate III (Chennai)
🏢 UST
📍 Chennai