Compliance (Cdd, Kyc) Employee Referral

**Title: Associate/Senior Associate/Assistant Manager - Compliance**

**Location: Bangalore / Chennai**

**Department: COE**
**Vacancy type: Permanent**

**The position**

The client facing business of Intertrust Netherlands is organized in five Client Units, whereby each Client Unit comprises of one or more client teams. In addition, thereto, there is a dedicated and specialist first line CDD team to support the Client Units as CDD experts. The CDD team will be responsible for all customer due diligence related compliance matters in cooperation with the client facing colleagues from the Client Units and the colleagues from the Centre of Excellence in India.

This position is considered integrity-sensitive due to the fact that the position-holder has access to integrity-sensitive information. Furthermore, the NL Policy on Integrity Sensitive Positions prescribes that all positions within the Quality Assurance department of Intertrust are considered to be integrity sensitive positions.

**Your Responsibilities**
- Responsible for performing high quality CDD technical reviews in line with applicable laws, legislations, policies and procedures;
- Responsible for the monthly completion of the number of files agreed on with the Client Teams;
- Responsible for the contact between the CDD Team and the Client Team;
- Responsible for managing the client outreach process together with the Client Team. Client outreach will be timely, client friendly, to-the-point, and minimized in both number of times and numbers of questions.

**Activities**
- Being the go-to specialist for all compliance related questions and industry expert
- Being the liaison with clients and intermediaries on CDD requirements, performance of CDD technical reviews
- Coordinating and monitoring all the compliance related activities for the client portfolio allocated to the Associate/Senior Associate, the cluster or the Team;
- Provide support to Client Teams including; the management of the file review process, management of and clearance of file review action points, management and clearance of CDD anomalies, management of and clearance of data integrity and other data issues, management of compliance conditions and other KPI’s that need attention;
- Coordinating and executing client onboarding/acceptance process for client entities in close cooperation with the Client Team;
- Coordinating and executing Event Driven Reviews for client entities in close cooperation with the Client Team;
- Representing the CDD Team in Local Acceptance Committee and ReAcceptance Committee meetings;
- Actively contribute to the performance of client acceptance file (_dienstverleningsdossier_) reviews in line with the compliance file review budget set for the year and ensure that these are compliant to the latest local legislation and internal Intertrust policies and procedures;
- Perform sample checks on client and client entity related data in ViewPoint and report results to the Cluster Lead;
- Support implementation of action plan for all compliance and data quality related matters relating to the Business Compliance aspects of the Client Teams to which your cluster and/or Team is allocated;
- Support implementation of any new compliance related policies, procedures and programs;
- Monitoring compliance with compliance related policies, procedures and programs within the Client Teams and maintaining knowledge on applicable escalation route in case of (potential) non-compliance;
- Periodic meetings with Business Compliance Director, Quality Control and Associate/Senior Associate community to discuss best practices and bottlenecks and suggest any improvements for relevant compliance or data quality policies and procedures;
- (Supporting) training and advising the Client Teams in best practices of Compliance;
- Advocating and practicing the Compliance Mindset.

**Competencies**
- _ Teamwork_

Cooperates and works well with others in the pursuit of team goals; shares information; supports others. Be responsible and approachable when discussing relevant activities with colleagues.
- _ Verbal communication skills_

Communicates verbally in a manner which is clear, fluent and to the point, and which holds the audience attention, both in group and one-to-one situations.
- _ Written communication skills_

Produces written communications and documentation (including all compliance related reporting and analyses) which are clear, fluent, concise and readily understood by intended recipient(s).
- _ Judgement_

Makes rational, realistic and sound (legal compliance) decisions based on consideration of all facts and alternatives.
- _ Initiative_

Is proactive and self-starting; seizes opportunities and acts upon them; originates action and actively influences events Self
- motivated and able to work in a demanding, pressured environment to tight targets/deadlines.
- _ Information gathering_

Seeks all possible relevant information for problem-solving and decision-making: consult