Compliance Executive
RMB commercial brokers llc
مجموع سنوات الخبرة :9 years, 9 أشهر
Ensuring compliance with current AML regulations, and other relevant legislation.
Ensure that the findings are recorded and followed up with management so that issues can be rectified.
To make sure that company functions in a legal and ethical manner while meeting its business goals.
Evaluate business activities to assess compliance risk.
Set plans to manage a crisis or compliance violation.
Keeping and maintaining records of high risk customers, and reporting Suspicious Transaction Report (STR) to the authorities.
Conducting risk assessment for the high risk customer
Verify submitted documents, kyc documents by individuals and corporates and alert to the corporates if there is any missing or invalid information.
Communicate with employees and make sure everyone is aware of what they need to do to comply with internal and external laws and regulations.
Receive a huge numbers of calls from the clients (inbound and outbound calls).
Deal with different kind of client from different nationalities.
Check each transaction status for each company and each individual.
Contact with the clients to guide them what are the requirements needed.
Make sure all the documents are provided from the clients to meet CB requirements.
Contact direct with compliance department to get more information.
Prepare various management reports on a timely basis.
Keep customer documents secured and filed accordingly.
● Hands-on demonstration of the product using advance and technical selling skills.
● Promoting the items proactively to every customer citing the features and advantages of it.
● Monitoring the average stock value of every outlet by conducting every day and monthly inventory.
● Responsible in reporting everyday sales figures to the Head Office.
Assisting customer with processing transactions, such as deposits, withdrawals, or payments. Informing customers about bank products and services. Maintaining and balancing cash drawers and reconciling discrepancies. Handling currency, transactions, and confidential info in a responsible manner. Following all bank financial and security regulations and procedures.