Assistant Compliance Manager
HSBC
Total years of experience :11 years, 9 Months
. Provide advice to the global banking business unit on all financial crime risks AML and Sanctions and to provide approval for the on boarding, renewal and trigger events of the Bank's highest risk customers.
· To lead & motivate the team to ensure that individuals fulfil their potential and ensure the team works in a cohesive manner
· Review and sign-off of the bank's highest risk customers (Special Category Customers) including Politically Exposed Persons (PEPs)
· Performing Quality check on the high risk profiles submitted by HRR team and concurring with recommended risk rating based on the indicators accessed.
Provide Job profile comprises of performing Compliance due diligence on client profiles,
assessment of KYC documents and reporting based on checks, screening and research.
* Analyze client data, documentation and negative news in order to determine a Client
Risk Profile in compliant with KYC requirements
* Support the analysts and Team Leads to understand and adhere to the Risk Based
Approach
* Act as subject matter expert to provide input to, review and advice relevant procedures
ensuring that these meet Group policy and risk appetite, legislative requirements and
regulator expectations
* Assist with money laundering related queries/questionnaires received from
Corresponding banks and corporate clients
* Collaborates with other departments (e.g., onshore FCC, Risk Management, Internal
Audit, Employee Services, etc.) to direct compliance issues to appropriate existing
channels for investigation and resolution
* Coordinating and performing basic and enhanced due diligence KYC screening on new
and existing clients
* Using the MI report to keep track of profiles worked by me and interacting with Onshore
Team (RMs) to collectively work around solutions to clear overdue clients.
* Volume reconciliation for the team on daily, Weekly and Monthly bases.
Merchandiser - Ashwath Inc, Tirupur
Master of Business Administration (Jun 2009- May 2011)
Bachelor of Computer Application (Jun 2006-Apr2009), Bharthiyar University, Coimbatore, Tamil Nadu