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Review account opening/know your customer (KYC) documentation, conduct quality client due diligence factoring AML/CFT and sanctions risks, liaise with business units and vigilance and control team to ensure quality of KYC forms and documents.
Document on-boarding decisions for reviewed clients, provide advisory for sanctions matches referred by operations and business units and provide sign off for account opening for increased risk and Politically Exposed Persons (PEP) customers to ensure compliance with regulatory requirements.
Conduct risk assessments on reviewed clients, issue advisory/take decisions on new to bank account opening requests, make decisions on the risk assessment (increased, neutral, unacceptable risks) of existing relationships to ensure compliance with regulatory requirements
Review system generated alerts against customer data, investigate for potential money laundering/terrorist financing/sanctions risks, collect documentary proof, build/maintain case files for transactions and customers deemed suspicious, update relevant MIS to ensure accurate tracking and record keeping, mitigate sanctions risks by taking decisions on payment filtering system, update internal watch-lists, identify tainted/blacklisted names and ensure required actions are taken in order to fulfill regulatory requirements and avoid penalties.
External Reporting and Correspondence:
Draft and report on MLRO/Deputy MLRO approved suspicious transaction reports (STRs), action and submit responses to UAE Central Bank on STRs, assist with addressing queries from corresponding banks relating to money laundering and sanctions matters, carry out freezing of funds and blocking of accounts, respond to and raise requests for information (RFIs) from other banks on anti-money laundering and sanctions in order to fulfil regulatory requirements and avoid penalties
Advice and Guidance:
Act as a subject matter expert to employees providing guidance on what actions to take when dealing with high risk accounts and transactions, contribute to the formulation of internal policies, procedures and training materials to support compliance with regulatory requirements
At least 4 years of banking experience in client on-boarding due diligence - particularly for Private Banking / UHNI clients
Experience in an international bank is a plus
Knowledge of UAE compliance and documentation regulations is a plus
Knowledge and Skills
Microsoft Office (Word, Excel and PowerPoint)
Understanding of account opening and customer documentation
Knowledge of customer transactions and behaviours
Exposure to banking transactions
Understanding of local/International and Central Bank rules and regulatory requirements
Understanding of banking systems, reports and workflows.