KYC Quality Assurance- Vice President

3 weeks ago

bangalore, India JPMorgan Chase & Co. Full time

You will be responsible for conducting continuous analysis against internal standards, procedures and regulatory requirements to ensure quality, completeness, and accuracy. The Quality Assurance team supports the review of activities performed by several Line of Business (LOB) teams that support the firm’s Global AML Program with the primary focus placed on review and analysis of KYC records

Roles and Responsibilities:

Operational Excellence

§ You are expected to manage the QA team in Bengaluru for KYC QA and is expected to manage the following responsibilities: 
§ Responsible for recruitment of key talent into the team.
§ Develop and monitor staff performance through JP Morgan Performance Management Respond and interact with all internal business lines including Relationship Management, Technology and senior management and contact with external auditors, consultants and clients Effectively organize and manage time to meet deadlines and team objectives.
§ In addition, the VP is also expected to protect the clients' and Banks' interests and ensure that their integrity is maintained within the marketplace.
§ To ensure department procedures are maintained and internal processes can adapt to market/client demands.
§ To maintain optimum service level for all clients ensuring any reasons for and proposed solutions to, negative trends are documented and escalated.
§ Interpretation of KYC standards, guidelines, policies and procedures
§ Perform ongoing formal testing of completed work cases to ensure controls/ standards are met
§ Review the quality of completed work cases to pre-defined test scripts which are based on quality testing standards Question and investigate the reliability and integrity of data, the validity of conclusions and the appropriateness of assumptions made (where appropriate).
§ Identify key issues, risks, trends, observations and provide reporting of results to key stakeholders
§ Perform root cause analysis and make recommendations for addressing identified deficiencies or improvements to business processes
§ Present findings via formalized feedback loop process, track and monitor corrections to identified critical defects (CAO Ops or GFCC)
§ Present complex and sensitive issues to senior management in a persuasive manner.
§ Work with Global Partners to ensure consistency with the Global QA framework and governance approach Strong functional skills, understanding of Loan products, documentation and reconciliations.
§ Proven communication and leadership skills.
§ Strong control and quality orientation, understanding of controls and awareness of quality tools and practices.
§ Previous experience of change management (. new system implementation, business restructuring) within the organization.
§ Ability to mentor, coach & delegate to subordinates
§ Ability to describe and influence changes to systemic activities supporting the business.
§ Ability to develops new methods or procedures (or leverages existing ones) to improve quality and eliminate unnecessary work or costs.
§ Work on strategic initiatives for the team and implementation
Key Responsibilities

Talent and Innovation

§ Identify and drive Process improvements and other initiatives
§ Identifying alternatives, options, and different ways of looking at issues/problems and to seek alternative scenario’s 
§ Ability to identify changes to processes and procedures to improve productivity and efficiency 
§ Working successfully with others, valuing, and utilizing the different skills and experience of colleagues from across the organization, building interdependence to achieve shared objectives and goals
§ Experience in managing instances of individual performance and/or development improvement plans
§ Trainings: Identify process/soft skills-based trainings to improve individual performances or as part of growth plans, ensure learning plans are in place and that there are no breaches on mandatory/compliance training timelines
§ Back up/Team depth: Ensure adequate backups/ production capacity is created for critical work queues
§ Performance feedback: Ensure constructive performance feedback is provided to the team members/operations analyst layer each month with specific improvement areas documented & tracked to closure. Escalate where no improvement is noticed
§ Hiring: Assist with the process hiring to backfill attrition or new roles
§ Motivate the staff to meet the Business priorities. Identify hi-potential talent and have a development plan in place


Required Qualifications & Skills:

Strong AML/KYC knowledge with the ability to demonstrate and coach how to identify AML risk within client profiles and products along with expected mitigating tasks to reduce AML risk; Min 10 years of direct AML experience

§ Bachelor’s degree in Commerce, Finance, or equivalent work experience with Min 12-14 years of experience within the Financial Services industry;

AML/KYC application support, and/or project management background preferred
§ Strong research, analytical, and comprehension skills, with ability to analyze large amounts of data
§ Demonstrated ability to raise issues or information to relevant stakeholders or management with respect to the control environment and to present the issue or information in a concise and effective manner
§ Strong stakeholder engagement, including ability to connect business and IT stakeholders in a clear and efficient manner 
§ Strong interpersonal skills and ability to influence others for results
§ Strong project management skills and ability to meet deadlines in a fast paced environment. Excellent oral and written communication skills preferred. 
§ Strong analytical and problem-solving skills; ability to effectively facilitate problem resolution 
§ Ability to work independently with minimal supervision 
§ Must have attention to detail and experience in providing innovative and proactive solutions
§ Proficient with Microsoft Office and Microsoft SharePoint
§ Advance skills in Excel tools including macros 
§ Knowledge of Commercial Banking business model, client base, product set preferred
§ Exceptional people and resource management skills (. people development, pipeline/skills monitoring, objective setting, stretch assignment setting and
§ Ability to develop, implement and maintain effective and standard operational processes in a controlled environment
§ Strong control and quality management skills; accuracy and attention to detail is vital.
§ Ability to monitor and actively prioritize workloads.
§ Look for and develop strategic solutions to common problems through improved workflow or systemic opportunities

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