End to End Kyc Operations

1 month ago

Mumbai, India RiverForest Connections Private Limited Full time

**Position Purpose**:
To perform the mission within KYC Operations department independent from the front office

To ensure high quality services delivery standards enhancing client satisfaction by duly performing activities within prescribed TAT & ensuring compliance with applicable regulations.

**Responsibilities**

**Direct Responsibilities**

Process Initiation
- Initiate the onboarding or recertification process or a targeted file update in case of trigger event
- Determine the due diligence corresponding to the client segment, including local regulatory requirements applicable in secondary sites in case of a multisite client

Information and Documentation collection
- Collect and record required information and documents from internal databases, external sources, and the client (possibly via the Relationship Manager)
- Check the consistency, validity and completeness of collected information and documents
- Check all the appropriate names against Sanctions and PEP lists as well as any other applicable lists
- Perform adverse information searches and assess their materiality
- Require relevant stakeholders’ intervention in case of positive hits, other higher risk cases, or missing or inconsistent data

Efficient & effective coordination with all internal teams
- Communicate and coordinate with all internal functions involved in the process, such as Data Officer, Data Controller, Screener, Investigator, Senior KYC Officer, etc.
- Oversee internal teams involved with the process and ensure defined KPIs are met
- Coordinate prioritization of multi-site and cross-border onboarding and related matters amongst onboarding teams around the globe

Risk Assessment
- Feed the scoring system with required data. Run scoring (if not automated ) and file the score and resulting risk level
- Require the qualitative assessment from the Relationship Manager (When applicable)

Decision
- Coordinate the onboarding or recertification decision process
- Prepare and submit the file to Business Management, Compliance, or a Client Acceptance Committee, as appropriate
- Record the decision and monitor the approval conditions, if any

Other Responsibilities
- Adherence to policies and procedures
- Ensure due diligence with local and group regulations.
- KYC recertification in accordance with Local regulations and company procedures
- Ensure data quality & data integrity of client records.
- Effective coordination & control over outsource activities following set timelines
- Active follow up for pending documentation & discrepancy management
- Safe keeping of clients documents
- Strict adherence to turn around time standards
- Proactive coordination with businesses, branches, compliance and other teams

Anti-Money Laundering / Financial Sanctions (“AML/FS”) related duties
- Operations are an integral part of the control framework including for AML/FS topics. In that respect, in performing your role you are expected to ensure adherence to AML/FS-related Group Policies and execution of associated operational controls, and to promptly escalate any resulting hit for analysis and decision to the relevant authority.

Contributing Responsibilities:

- End to End Lead Time
- Zero Overdue
- Overall Client Experience

**Qualifications**:
**Technical & Behavioral Competencies**

Hard Skills & Knowledge
- Experience in any of the following areas preferred:

- KYC and AML requirements
- Regulatory requirements
- KYC Advisory and Compliance
- Financial Markets Regulator
- Excellent analytical and problem solving skills (Project Management experience is a plus)
- Proficient with Microsoft Excel
- History of achievements in similar roles

Soft Skills
- Ability to work collaboratively across functions
- Highly motivated to uplift client experience
- Advanced communication skills - face to face, verbal, and written
- Excellent interpersonal skills
- Self-motivated and rigorous to ensure quality

Ability to work under pressure and tight deadlines

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