Associate - AML/KYC - Investment Bank

We have been engaged for the below opening by Leading Investment Bank.

Company : Leading Investment Bank

Designation : Associate (4-6 Years)

Job Location : Bangalore

Job Description:

Business Unit Overview:

Operations is a dynamic, multi-faceted division that partners with all areas of the firm to deliver banking, sales and trading, and asset management capabilities to clients around the world. Alongside this vital service delivery role, Operations provides essential risk management and control, preserving and enhancing the firm’s assets and its reputation.

Client On-boarding is a part of Onboarding Data Quality Management Operations and is responsible for facilitating the establishment and maintenance of client relationship within the firm, including, but not limited to due diligence, supporting documentation and account opening.

The Policy & Quality Assurance team within Client On-boarding manages the control framework and oversight of a broad spectrum of firm policies that impact Institutional on-boarding teams. We work closely with Legal, Compliance, Operations and Technology teams for successful implementation of policy and control oversight to meet regulatory obligations.

The Policy & Quality Assurance Associate is an opportunity for a dynamic and risk-aware individual to take part in shaping and ensuring compliance with Client Onboarding’s control framework related to a broad spectrum of firm policies, including but not limited to Know-Your-Client, Customer Due Diligence and Enhanced Due Diligence. The role is part of a global team responsible for overseeing aspects of policy implementation, quality assurance and audit facilitation for the Client Onboarding division. The successful candidate will be able to exercise independent judgment, discretion and decision-making.

Responsibilities:

- Assist in developing and integrating quality control framework for new and existing processes

- Conduct quality assurance reviews to ensure adherence to firm policies

- Partner with Compliance to implement new and updated policies to satisfy regulatory obligations

- Collaborate with line teams to ensure sound and consistent practices across the division

- Coordinate and conduct training sessions for regional teams on new and updated policy guidance

- Assist with audit preparations in response to internal and external regulatory inquiries

- Participate and contribute to industry-wide initiatives

Skills / Experience:

- Minimum 3-5 years work experience in relevant function

- AML Compliance or other risk assessment experience strongly preferred

- Ability to understand large and complex regulations and rule sets

- Previous experience in writing policies and procedures

- Previous experience in people management

- Understanding of Risk – operational, reputational, client confidentiality etc

- Resourcefulness, strong judgment and problem solving skills

- Previous exposure to project management or business analysis is desirable

- Ability to communicate effectively in both written form and verbally with peers and management

- Ability to work in a dynamic environment and respond to tight deadlines and changing requirements

- Excellent organisational skills

- Proven ability to work well in a team environment

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