Reg affairs & compl scib analystcountry: mexicocdd ops: o perform kyc processes applicable for new and existing customers o manages the team's pipeline and mis to ensure timely completion of kyc files and appropriate management of the team's capacity o works with direct manager and local teams to maintain proactive management of client escalations, issues and other items that require special handling related to kyv files completion. o works closely with local and global compliance and change teams and other aml/kyc functions to ensure consistent processes are being followed. o ensure that customer record maintenance activities are accurately completed in accordance to data governance, aml, regulatory and all other applicable internal policies and standards. o participate in the it and non-it projects relating to onboarding and kyc processes o maintain working knowledge of all regulatory obligations and be able to relate them to global policies and procedures teams o thought leadership: play a key role in multi-disciplinary teams to address new business initiatives, it and non-it enhancement projects, and one-off assignments to improve customer experience and support bank transformation o develop strategic partnerships with other team leaders and managers with onboarding unit, lines of business and aml financial crimes teams. o manage and assess the impact of the operational implementation of technology and policy change and drive continuous improvements to the quality of data client data:
• work closely with the person in charge of client data in spain.
• analyze the data that appian offers as a bau management tool in the area, to find opportunities for improvement or review and process improvement:
• work closely with the global and local corporate cdo office on the clm data flow
• represent the team on data working groups or projects associated with information maintained by cd
• provide management with strategic updates to customer data workflows
• provide regular management reports and updates on the status of the team and the processes it manages
• create detailed requirements documents for the workflows you lead
• manage customer and non-customer related data migration and integrity projects quality control:
• check the quality of the on-boarding cases across all client and non client types in line with scib clm global manuals and local addendas.
• ensure that sdd/cdd/edd policy has been followed, standards and procedures and apply these diligently to each client review raising any queries as appropriate.
• ensuring all required regulatory & tax documentation has been received, validated and escalated where necessary.
• ensure the integrity of information in all the systems involved in the process, thus covering the e2e of the task
• verify that escalation of high risk cases to local rac team / 2nd line of defence / compliance for sign-off has been done properly. Fc ops:
• oversight the teams managed to ensure that the operations/transactions/alerts monitoring and controls performance of different geographies of scib
• ensure all fcops and ce alerts reviews are tracked, recorded, and stored in line with internal policy, operational procedures and records management requirements.
• ensure timely, efficient escalation of possible suspicious activities to the appropriated aml and compliance global/local level.
• escalate any queries regarding a potential sanctions link or heightened areas of fc risk outside of the fcops&ce process (i.e., cdd) to general clm manager and/or fcops director as a first point of escalation.
• timely execution of instructions received from aml compliance officers or regulators.
• ensure the quality of the process performed for the different teams following the fcops and ce internal qc plan.
• as an aml and compliance expert provide direction and guidance to employees on appropriate remediation action for all accounts.
• assist in the development of in-person aml/ctf, sanctions, compliance and operational risk training for new and existing employees.
• control the execution of the weekly, bi-weekly, monthly, and quarterly reports or mi (kpi/kri) to fcops director.
• promptly and accurately prepare scheduled reports on workload status, highlighting emerging issues to the fcops director.
• contribute to the on-going improvement of fcops and ce monitoring including the review and refinement of processes and systems.
• assist in the creation, development, and review of fcops and ce procedures
• assist in identifying systemic procedural weaknesses and additional training requirements for the fcops and ce process.