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Review of existing KYC information and documentation held on file (repositories and document storage tools)
Review of the existing Anti Money Laundering (AML) policy and related procedures to identify new requirements, tops up or renewal of information/documentation held on file
Collating and reviewing KYC docs in accordance with the companies AML policy requirements to identify AML risks associated with the client, and assess overall risk
Construction of KYC files with the required information and documentation in accordance with policy
Notification to the relevant teams where client outreach is required for information/documentation which cannot be collected publicly.
Escalation to the appropriate teams where information cannot be sourced or provided or where prior exceptions have been granted on existing files.
Client Outreach where required. Communicating with clients and their clients to obtain information and documentation required to complete KYC/CDD reviews. Able to communicate reasons why certain documents are required.
Carrying out checks of files before assigning to the Lead/Second Line for sign off and approval
Doing screening using systems to identify Sanctions, PEPs, and Adverse Media in relation to the entities and related parties within the policy and procedure
Ensure you keep accurate MI for the duration of the delivery to cover productivity, overall status, issues and escalations
Experience (AML/KYC due diligence roles) within Capital Markets, Corporate /Investment Bank and Financial Institutions
You will need knowledge of AML/KYC regulations and industry guidelines
Understanding of the possible implications of financial sanctions on banks and financial institutions (OFAC, HM Treasury, EU and UN sanctions)