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Business Descriptor:
The role encompasses a number of tasks involving KYC analysis across multiple business lines and ensuring AML Regulations, policies/procedures are maintained and adhered to.
This role also involves liaising with the business partners as well as colleagues and senior onshore partners thus ensuring timely resolution of queries.
The following responsibilities are applicable:
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Production of KYC profile to the highest quality standard & in line with the latest policies and procedures. Individuals are required to keep themselves updated on the latest procedural/ policy changes across all streams.
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Obtain & update all missing client documentation from client (with the help of the RMs / CLG) Sourcing & updating accurate and relevant client data from the internet & or other bespoke information providers.
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Following up on client profiles(In line with the latest escalation matrix) & making sure that all levels of signoff in line with latest Id matrix
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Take complete ownership of any profiles/tasks that have been assigned until stage of completion. This could be a new request or a request or work item that has been reassigned.
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Communicate clearly in writing with team members, Compliance, RM/GBM as required (Customer)
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Ensure one meets the set productivity target and Quality target month on month
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Profiles to be sent for audit (after receiving all information) within standard timelines that have been defined.
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Interfacing with Client Liaison Group, Compliance, Front Office and Relationship Managers where applicable especially on matters that involve escalation of pending and ageing profiles.
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Timely and accurate updating of the management information and / or control sheets as advised.
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Proactive and responsible approach to urgent requests and queries from onshore.
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Meet the needs and expectations of customers by ensuring that escalations and complaints are handled in a timely and appropriate manner.
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Develop and maintain excellent professional relationship with all stake holders.
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Proactively and constantly up skill oneself by getting adequate training from a client due diligence perspective.
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Ability to handle process initiatives like UAT, assessing and delivering the impact of policy changes, process re-engineering and perform the role of an SME going forward.
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Aide management in preparing reports and presentations with respect to the process
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Assume responsibility during crisis situations with respect to volumes, escalations, attrition etc.
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Understand & comply with all relevant policies & procedures issued by the Group &contained within the group
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Interpret regulatory/policy changes and understand their implications. Ability to establish action points arising out of the same and incorporate the impact within laid down procedures.
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Keeping abreast of developments within the financial regulatory environment and proactively educate the self and team on the same.
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To be aware of the relevant FIMs and GSM applicable to the process.
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Embrace and accept changes within the current business environment.
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Ensure implementation and adherence to audit and compliance requirements and proactively highlight potential issues to the management.
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Ensure zero operational / reputational loss.
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Participate in centre wide activities and various forums, sharing ideas to make KYCS a better dplace to work
Skills/Experience Required
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Excellent understanding of KYC, financial regulatory environment and AML risk implications (E).
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Thorough understanding of legal structures of various client types: financial institutions, corporate, quoted companies, private companies, funds, SPV’s etc (D).
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Proven skill sets in analysing implications of mergers and acquisitions on legal identities & ownership structures of Corporate, FIs & Funds (D).
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Sound knowledge of financial regulatory requirements (D).
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Ability to interpret complex changes in regulatory guidelines and assess impact (E).
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Excellent communication skills (E).
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Ability to work well under pressure with high degree of accuracy (E).
- Good understanding of MS office and proven skills on banking platforms (D).
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Self-driven (E).
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KYCS experience for 12 months (D)
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Pro-tip : Familiarity with AI-enabled tools is an advantage.
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Issued by HSBC Securities and Capital Markets (India) Private Limited
