KYC & Compliance Consultant
Element Alpha SA
مجموع سنوات الخبرة :7 years, 6 أشهر
Counterparty Due Diligence & End-to-end Client onboarding.
Perform AML/CTF/Sanctions compliance screening.
Sanctions screening on vessels.
Assist the Compliance Officer.
Implement the internal KYC & Compliance policies & procedures.
Perform bank account verification (Anti-fraud).
Internal trade invoicing.
Trades reporting checks (REMIT - compliance)
Quality Assurance on Transaction Monitoring processes (EU & APAC region)
Investigate an alert and analyze transaction pattern to either report or mitigate risk.
Filing STR and objective transaction reporting through GoAML to Netherlands FIU
Assist manager in drafting procedure documents.
SME and Spok for a team of 2 analysts
Training to team mates on multiple TM processes.
Presented the monthly team performance overview to the stakeholders.
Compliance process
Perform screening to comply with regulatory requirements and mitigation of risk associated
with sanctions, Money Laundering, Bribery & Corruption, Terrorist financing, trade
restrictions, etc. Processing end to end client onboarding and maintaining updated
documentation on record.
Credit Risk Process
Analyzing financial statement to recommend credit worthiness/periodic credit review.
Responsible for providing day-to-day credit risk support and ensuring the implementation of
internal credit policies and procedures.
Sales order approvals for the deals made by the trading team ensuring customer credit
exposures are within set limits.
Process transactions via SWIFT, NEFT / RTGS / ECS. Handling DEMAT A/c opening,
Cash counter (indent for cash on a daily basis) & Savings deposit counter
KYC re-certification of expired documents of the clients, comply with the Central
Depositories Services Limited (CDSL) regulatory requirements, Yearly review on NRI A/cs.
Following all relevant policies and procedures for FATCA-CRS legislation, CDD, Assigning
and verifying tax status of clients as per their applicability.
Ensuring process timelines and accuracy, abiding to regular updates circulated by
regulatory authority.