Ftc - Associate
1 week ago
About the Opportunity
**Job Type**: Fixed Term Contractor
Contract duration : 5 months.
Application Deadline: 20 April 2024
**Job Description**:
Title: Associate/Senior Associate
Department: Operations
Location: Gurgaon
Reports To: Team Leader
**Job Type**: Permanent
Level : 1
We’re proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each other - all over the world. So, join our team and feel like you’re part of something bigger.
Department Description
Anti-Money Laundering Team (AML) part of Retail Operations handles requests for Fidelity’s Retail, Wholesale, Funds Network, and PI customers. The team receives and processes a variety of customer instructions across several product groups. The team performs verification of all clients for Anti Money Laundering purposes under our designated Office Codes for Private clients, Corporate, Trusts and Nominees in accordance with FIL’s AML policy. The team is also responsible for writing letters requesting for client documentation where the client cannot be verified internally. Additionally, the team is also responsible for reviewing the clients’ PEP and Sanctions status. Politically Exposed Persons generally have a high political profile or hold/ have held public office which could pose a higher money laundering risk to firms as their position may make them vulnerable to corrupt practices. Therefore, it becomes important that these individually are identified on timely basis and decision is taken to maintain/discontinue business relationship with them
Purpose of your role
Money Laundering Regulations are designed to protect the UK financial system. All firms covered by the regulations must put in place certain controls to prevent it being used for money laundering by criminals and terrorists. Firms must be able to evidence their procedures & controls to the regulator. The impact of not having adequate anti-money laundering systems and procedures in place can result in significant fines and penalties on the firm itself or authorised persons such as the Money Laundering Reporting Officer (MLRO) and other Senior Managers who have personal liabilities to ensure compliance with FCA rules. One of the controls firms use to ensure compliance with the regulations is to check the identity of their customers. This role requires highly energetic individuals who have good investigation skills and can challenge the status quo and help in meeting the organisation its regulatory requirements.
Key Responsibilities
- To ensure clients are AML verified on timely basis and to reduce the Money Laundering exposure to Fidelity.
- AML verification is part of Fidelity’s client on-boarding process. All the clients need to be verified as per standard process to allow investment in Fidelity products. Individual should be able to work with utmost quality standards to ensure that genuine clients are verified as per promised timelines to avoid any business loss.
- Individual would be required to communicate with clients through written medium (letters). Should possess fluent writing skills that would help in effective drafting of letters.
- Individual should be able to perform detailed PEP/Sanction reviews through internet research and highlight all suspicious cases to MLROs and business directors. Should have an eye for detail as PEP/Sanctions misses lead to a direct violation of FCA guidelines on Sanctions & Money Laundering.
- Develop an understanding of Fidelity’s products and businesses as well as the internal and external clients
- To process work items within agreed service level and to the required quality levels.
- Ensure that Quality, Productivity and regulatory standards are adhered to.
- Demonstrate ownership in managing the queues to ensure that all the instructions are processed on time.
- To identify risks in the team proactively and drive forward ideas to mitigate these risks.
- Taking ownership of individual issues and ensuring that they are resolved to the satisfaction of the customer and client.
- Maintain confidentiality in handling client sensitive information
- Be able to record data accurately that could be used for relevant MI, and ability to effectively understand MI that is published and its impact on their performance
- To keep supervisor informed of work in progress and escalate any possible issues which will impact on the timeframe to complete
- To ensure knowledge of procedures are kept up to date, and any new procedures implemented.
- To drive quality improvement initiatives in the team.
- Anti-money laundering (AML) team is responsible for client Due Diligence
- Investigating the client’s document and taking relevant decision on client’s AML validation
- Analysing and processing the customer verification complying with money Laundering
- Understanding of the risk rating for various PEP’s
- The team also monitors Politically Expose
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