Customer Deu Diligence - (Senior Associate)
Published date: 2024/01/10
- Location: Mumbai, , Maharashtra, India
• Poses good knowledge about RBI KYC guideline and documentation of Corporate and individual accounts opening
• Adhere to the CDD RBI circulars, CDD Standards & India LKYC guidelines towards scrutiny of Customer Due.
• Diligence while Onboarding/ReKYC/Trigger BCAP
• Active engagement with internal /concurrent/QA audit teams.
• Co-ordinate/Follow up/ Track Audit issues and help to complete/close the same.
• Ensure all the audit issues are closed/completed within the agreed timelines.
• Ensuring Clean Audit report - Resolving issues in timely manner with satisfactory evidence and no overdue
• Name Screening & sanction alerts within TAT & also do periodic review of clients.
• Timely Closure of Batch & Sanction Alerts.
• Qualitative Analysis of Batch Screening & timely submission of the same.
• Periodic Review of Clients
• Advisory role for BU wrt KYC Queries Resolution
• Providing resolution regarding KYC/CDD related queries that the BU may have at the time of onboarding.
• Reducing in rework rate & TAT of account opening
• Regular Training RMs & Makers.
• Review & modify processes for CDD Scrutiny in line with changes in regulatory processes
• Supporting CDD Centralisation.
• Training CDD Making Team with regards to the requirements of BCAP Help in creating repository for BU & CDD Checking team to refer wrt CDD.
• UATs for enhancements
• Should be well versed with Liability Products
• Should poses good Knowledge of FATCA/CRS guidelines.
• Poses good knowledge of various defaulters database and their impact. e.g. RBI Caution list / Black list /Lexis Nexis Compliance and adherence of internal and external regulations
• Reviews a list of high-risk KYC processes and tracks the quality.
• Perform quality reviews and reviews of procedures and processes
• Adhere to the CDD RBI circulars, CDD Standards & India LKYC guidelines towards scrutiny of Customer Due.
• Diligence while Onboarding/ReKYC/Trigger BCAP
• Active engagement with internal /concurrent/QA audit teams.
• Co-ordinate/Follow up/ Track Audit issues and help to complete/close the same.
• Ensure all the audit issues are closed/completed within the agreed timelines.
• Ensuring Clean Audit report - Resolving issues in timely manner with satisfactory evidence and no overdue
• Name Screening & sanction alerts within TAT & also do periodic review of clients.
• Timely Closure of Batch & Sanction Alerts.
• Qualitative Analysis of Batch Screening & timely submission of the same.
• Periodic Review of Clients
• Advisory role for BU wrt KYC Queries Resolution
• Providing resolution regarding KYC/CDD related queries that the BU may have at the time of onboarding.
• Reducing in rework rate & TAT of account opening
• Regular Training RMs & Makers.
• Review & modify processes for CDD Scrutiny in line with changes in regulatory processes
• Supporting CDD Centralisation.
• Training CDD Making Team with regards to the requirements of BCAP Help in creating repository for BU & CDD Checking team to refer wrt CDD.
• UATs for enhancements
• Should be well versed with Liability Products
• Should poses good Knowledge of FATCA/CRS guidelines.
• Poses good knowledge of various defaulters database and their impact. e.g. RBI Caution list / Black list /Lexis Nexis Compliance and adherence of internal and external regulations
• Reviews a list of high-risk KYC processes and tracks the quality.
• Perform quality reviews and reviews of procedures and processes
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