The role holder will be responsible to manage risk controlaspects of financial operations, including, Anti-Money Laundering(AML) & compliance functions under strict accordance toregulatory standards.
Enforce and investigate breach of stablishedpolicies and procedures to ensure complete compliance to legal andcorporate policies.
Studies AML / Compliance regulatory standards affectingCpomapny’s financial operations
Through supporting the investigations process, maintainsfinancial operational compliance function ensuring AML policies arealways respected.
Works on the operationscaseload of investigations, performs analysis and follows-up andworks case to completion.
Investigatesbreaches in compliance at branches / sales outlets.
Investigates any potential internal conflict of interestthat might cause a breach in AML / Compliance regulations.
Ensures the right KYC is in place for Company'sdifferent business lines, in compliance with regulatorystandards.
Performs Level 1 AML investigationswith respect to new customer / transaction alerts received by theAML unit.
Prepares AML / Compliance training tobe rolled out to other teams in the company to seek alignment onregulatory standards.
Prepares MIS andprovides critical analysis of portfolio performance andcomposition, identifying stress points.
Monitors customer transactions for unusual activities ofbehavior to identify high risk triggers and potential points ofcompromise.
CAMS (Certified Anti-Moneylaundering Specialist) is required.
Track and reportprogress on investigations
Amount of regulatory fines receiveddue to AML / Compliance breaches
Policyadherence and tracking of procedures in place
Quality of Investigation and MIS reporting
Guidance to fraud team as appropriate