Team Lead AML/KYC

6 months ago

Mumbai, India DBS Bank Full time
Team Lead AML/KYC-(WD50580)

Job Description

Job Purpose
The job is to manage the Risk & Governance associated with KYC / AML for Institutional Banking Group. It also includes Data submission to regional office Regulatory Correspondence (RBI Audit – KYC AML), Concurrent Audit – (KYC AML), Implementation of new initiatives projects / initiatives. Team management role to also oversee the IBG customer onboarding team consisting of CDD Maker and CDD Checker.

Key Accountabilities
KYC (AML/CFT)

Systems infrastructure

Handling of Audit (Regulatory and Concurrent audits queries pertaining to AML KYC)

Regulatory Engagement

Regulatory reporting / Remediation Exercises

Job Duties & responsibilities
Team management role. Manage the IBG customer onboarding team consisting of CDD Maker and CDD Checker :

 Audit & Regulatory Engagement for KYC/AML

Active engagement with internal/external auditors including Concurrent Audit, RBI.

 KYC (AML/CFT)

IBG reporting for Tranche 1 & 1A for AML KYC

IBG monthly/Quarterly reporting on AML KYC

System Infrastructure queries/setup.

Assist RM's on KYC queries pertaining to client on-boarding.

Timely completion of client re-KYC and Monthly Risk Review

Track, Monitor regulatory items like IBG Deferrals, Negative Balances, i/w cheque returns, STR cases, weed-out activity

FATCA-CRS Compliance and Annual Reporting

Conduct monthly FEMA Task Force, facilitate resolution of issues, alerts and action points tracking for the monthly meeting

Represent IBG suitably in AMLOC/ RGG/ IMC or Group Forums as applicable

Transaction / AML alerts - Following up with concerned teams for closure of alerts.

Other IBG-COO Responsibilities:

Taking on additional projects as and when nominated by IBG COO / other BU heads in DBS India

Required Experience

Operational Risk Management / Audit for IBG

Sufficient knowledge and experience of the Unit’s business operations and processes

Understanding of regulations related to AML/KYC/CFT locally as well as for the group

Ability to provide balanced perspective between business expediency and risk & control

Ability to communicate effectively

Good Experience into MS Excel working.

Education / Preferred Qualifications

CA / MBA with 15-20 years of experience

Core Competencies

Analytical Skill

Audit

Self Motivated

Strong Interpersonal skills

Ability to carry out Senior Management interactions independently

Work Relationship

All Business Unit & Support Units, Legal, Compliance, Operational Risk, Credit and Operations. Additionally close coordination with group IBG COO office is required.

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