Assistant Manager - KYC / AML Controls
Gulf International Bank B.S.C
Total years of experience :21 years, 3 Months
1. Adhere to the AML/CBB regulations and internal policies and procedures.
2. To examine and ensure that the account opening documents are
certified/verified and in order prior to proceeding in getting the client’s
static data set up.
3. Update all the clients profile with the documents received in the AML
system.
4. To follow up with the Relationship Managers to ensure that all missing
Documents/information is received in a timely manner for regularization
client’s records.
5. Liaising with Correspondent Relations Department on client’s Static Data
updates.
6. To update the AML control sheet for client status and easy reference.
7. To be responsible for the daily monitoring of the AML violations, and
initiate constant follow-ups directly with the concerned Account Office.
8. To ensure that all the necessary approvals and documentation have been
obtained prior to getting the sign-off for setting up client record in the
Banking system.
9. To ensure that all KYC documents received and held in customer files are
properly scanned and saved within IDMS.
10. To bring immediately to the attention of section head or head of
Operations and the MLRO, for any suspicious transactions.
11. To handle any job assigned by the Department or the Head of Operations.
To obtain a managerial position, where my skills and abilities could be
used in a challenging and professional manner, that would benefit both
the organization and myself.
Manahil Al Amir
House 605, Road 3417 A'Ali 734
+97336793671
Gulf International Bank
05 / 2003 - Present
08 / 2006 - 05 / 2012
12. To ensure compliance with overall operational GIBMAN procedures, rules
and regulations and any other instructions issues by Senior Management.
13. Review periodically all clients’ files ensuring that all the records are in
order.
14. Ensure that London branch client’s KYC records are in order and updated
with any changes.
15. Assist AML/KYC Control with all AML-related issues and help maintain
minimal daily and monthly violation alerts.
16. Review and update the client sensitive list in the AML systems.
17. Distribute the updated list of sensitive clients to the Treasury Group Email,
Head of Relationship Management, and operations and to Compliance.
1. To carry the signature verification of all types of documents, as per bank procedures.
2. Be responsible for maintaining and controlling all signature documentation under her custody with its relevant & regular updates.
3. Update the signature mailing list for GIB Signature Book in line with the bank’s guidelines and procedures.
4. Maintain and update the bank relationship files under her custody.
5. Update and distribute GIB signature CD and its amendments internally within GIB offices and externally worldwide.
6. Be responsible for sending and receiving the various control documents including the Standard Settlements Instructions to and from our correspondents.
7. Responsible for maintaining and updating Correspondent Mailing List.
8. Assist in the distribution of bank circulation materials (General, Operations and Management) received in the format of SWIFT broadcast, formal letters or similar materials to the concerned officers in the bank.
9. Write and draft the Department’s various correspondences in all systems and carry out all typing needs as required.
10. To act as a test breaker / maker function for incoming and outgoing tested telexes for our correspondents.
11. Assist in updating and Controlling Telegraphic Test key arrangements in accordance with GIB MANDATES.
12. Assist in the exchange of SWIFT RMA with our correspondents and all associated works.
13. Maintain the custodian function for all safe keeping materials in accordance with the relevant procedures.
14. Act as custodian, for any assigned/directed task.
15. Assist in updating Midas/Acumen system and all related works as per bank's procedures.
16. Maintain a proper filing system for the Department systems/arrangements.
During my rotation in the Internal Controls Department, I’ve come to know the following tasks:
1- Dispatching the customer monthly statements
2- Involves checking or reviewing the input of data passed by other units within the bank such as Operations, Credit, Accounts & Human Resources.
3- Report Verification: Includes input verification of reports to their respective input forms generated by Units within the bank and to the time duration specified in the Proof Chart:
i. Journal Entries - Batch Items, All Batches
ii. Accounts Opened And Closed - Non-Retail /Retail
iii. Facilities Maintenance Today
iv. Customer Exchanges Input Today
v. Retail Account Balances
vi. Client Details Maintenance - Audit Report
vii. Nostro Codes Listing
viii. F & O Customers Listing
ix. Extended Settlements Maintenance - Audit Report
x. Outgoing Payments List-Foreign Currency
xi. Incoming Payments List-Foreign Currency
xii. Draft Cheques Daily Journal - Accounts\]
xiii. Draft Cheques Daily Journal - Human Resources
4- Other Verification: Includes the physical verification of various functions carried out by various Units within the Bank and as per the duration listed below:
I. Monthly verification & proofing of the Petty Cash Facility, Postage Facility, Postage Franking Machine, Cash Advance held with Human Resources, and spot check of working stock of unused drafts, all verified against Report .
II. Quarterly verification of Bank’s Giveaway Items \[Corporate Communications\]
III. Semi Annual verification of unused drafts \[Administrative Services\].
IV. Annual Collateral Verification \[Credit Administration\].
V. Annual verification of documents held in Safe Keeping \[Credit Administration\].
VI. Annual verification of documents held in Safe Keeping \[Correspondent Relations\].
5- Sending the Certification of Outstanding to Clients upon their request.
1. Filing
2. Preparing the salary certificate and working certificate for the employees
3. Writing memos and letters
4. Labeling the files
5. Opening new files for the new employees
6. Answering the phone
7. Photocopying
8. Sending faxes
MS Access 2007 - Basic Building High Performance Teams Effective Supervisory Skills 2008 - 2010 BSDP Banking Studies Diploma Program (Advanced level in Bahrain Institute for Banking & Finance (BIBF) including Accounting Analysis and Planning, Management and Organization in Financial Services, Advanced Macro Economics, Risk Analysis and Evaluation, Marketing Management). 2007-2008 BSDP Banking Studies Diploma Program (including Managing People in Organizations, Marketing, Sales and Customer Service, Introduction to Economics, Structure of Accounts). 2008 Bahrain Institute for Banking & Finance (BIBF): MS Excel 2003-Intermediate 2006 Bahrain Institute for Banking & Finance (BIBF): Anti Money Laundering 2006 Bahrain Institute for Banking & Finance (BIBF): Business English Program level 3 2005 Bahrain Institute for Banking & Finance (BIBF): Checking Shipping Documents 2005 Bahrain Institute for Banking & Finance (BIBF): UCP 500 for Documentary Credit and URC 522 for Collection 2005 British Council: English Language (level 3.2) 2004 Bahrain Institute for Banking & Finance (BIBF): Communication Skills 2004 Bahrain Institute for Banking & Finance (BIBF): Elements of Banking 2004 Bahrain Institute for Banking & Finance (BIBF): Transaction Accounting 2003 Gulf College, Bahrain: Table Service Skills 1997-2001 Bahrain Training Institute (BTI): Presentation Skills, Telephone Skills, Reports Writing, Business Plan Preparation and Business Correspondence Writing