Responsibilities
Diligently carry out the 2LoD role in the account recertification and account opening process:
• Reviewing client profiles to ensure conformity to internal BNPP and HK/SG regulatory requirements on Anti Money Laundering /Countering Financing of Terrorism /Customer Due Diligence standards, producing client risk assessments, due diligence analysis and assigning an appropriate risk rating
• Assisting with the preparation and presentation of existing client relationships to SG/HK risk committee with the objective of obtaining business & compliance management approval to start/maintain the relationship with the client
• Review client transactions for the period under review and flag out any suspicious transactions with regard to unknown 3rd parties; commercial nature etc.
• Provide advisory support to the business with regard to resolving newly identified adverse media, link to sanction countries related issues, identifying potential Politically Exposed Persons etc
• To provide advisory to Business on KYC and Financial Security matters.
• To investigate, analyze,
prepare memo, and ensure required protocol is followed through
for cases with KYC/AML/FS concerns.
• Perform risk assessment and make decisions with regards to unblocking of accounts
• Conducting investigations and assist in the filing of suspicious transaction reports (STRs) as appropriate
• To assist with internal audits, regulatory inspection and investigations · Be familiar with relevant MAS and HKMA requirements.
• To proactively identify potential gaps in the current processes/policies against regulatory requirements
• To work with Onshore Compliance on derogations and other policies-related matters.
• Collaborate with the larger compliance community, e.g. APAC Financial Security AML Advisory team.
• To provide administrative support such as tracking of file status, updating of bankruptcy lists.
• Perform any ad-hoc duties assigned by supervisor, including KYC in relation to
📌 KYC/AML Analyst_Sanction Screening (Mumbai)
🏢 CAPCO
📍 Mumbai