Subject Matter Expert Manager - KYC & AML Compliance

SME Manager

Roles & responsibilities

The role may be used on either a large (complex or simple) engagement as a deputy role under a Senior Manager or on a small (complex or simple) engagement as the lead SME . The successful applicant will be responsible for oversight and management of the process of the SME for the onboarding, Periodic Reviews,remediation of KYC files. They are required to utilize their expertise, knowledge and experience to ensure that files are completed to regulatory standard, and that business processes and policies are adhered to and correctly applied throughout the process. They will be responsible for responsible for overseeing the team's quality control process and framework. Ability to drive high standards of quality in global onboarding and renewal reviews of Know Your Customer (KYC) due diligence is therefore pivotal to this role.

The ability to engage and communicate, with good people management skills and experience are therefore essential, with a demonstrable track record of having successfully led a small to medium team in an operational environment.

•Drive team to conduct customer risk assessment in full compliance with the firm policies as well as external regulatory requirements.•Liaise with the Transition Manager and provide operational input to IT Technology to ensure designed technical solutions are fit for operational purpose. Building core knowledge in team during set up activities in liaison with Transition Manager.•Monitor collection of effective and comprehensive customer information and supporting documentation necessary for the completion of Customer Due Diligence (CDD), in accordance with regulatory and internal standards.•Manage resolution of potential AML issues arising across the business unit and jurisdictions.•Identify and diagnose sub-optimal business performance. Ensure that the potential risk to company arising from money laundering and fraud, is minimised. Actively protecting the client’s interest at all times in complying with statutory regulations and legislation.•Reporting of issues of concern to Operations, Senior Leadership, and where appropriate, to the client. Initiate and support improvements to processes and techniques to achieve higher levels of efficiency and effectiveness and to maximise productivity gains.•Drive process enhancement, identify and implement strategic improvements and enhancements to existing systems, policies and guidelines to reduce risk and improve efficiency

Ensure and oversee production of regular Quality/AML reports for various stakeholders by the QC team.

Roles & responsibilities

The role may be used on either a large (complex or simple) engagement as a deputy role under a Senior Manager or on a small (complex or simple) engagement as the lead SME . The successful applicant will be responsible for oversight and management of the process of the SME for the onboarding, Periodic Reviews,remediation of KYC files. They are required to utilize their expertise, knowledge and experience to ensure that files are completed to regulatory standard, and that business processes and policies are adhered to and correctly applied throughout the process. They will be responsible for responsible for overseeing the team's quality control process and framework. Ability to drive high standards of quality in global onboarding and renewal reviews of Know Your Customer (KYC) due diligence is therefore pivotal to this role.

The ability to engage and communicate, with good people management skills and experience are therefore essential, with a demonstrable track record of having successfully led a small to medium team in an operational environment.

•Drive team to conduct customer risk assessment in full compliance with the firm policies as well as external regulatory requirements.•Liaise with the Transition Manager and provide operational input to IT Technology to ensure designed technical solutions are fit for operational purpose. Building core knowledge in team during set up activities in liaison with Transition Manager.•Monitor collection of effective and comprehensive customer information and supporting documentation necessary for the completion of Customer Due Diligence (CDD), in accordance with regulatory and internal standards.•Manage resolution of potential AML issues arising across the business unit and jurisdictions.•Identify and diagnose sub-optimal business performance. Ensure that the potential risk to company arising from money laundering and fraud, is minimised. Actively protecting the client’s interest at all times in complying with statutory regulations and legislation.•Reporting of issues of concern to Operations, Senior Leadership, and where appropriate, to the client. Initiate and support improvements to processes and techniques to achieve higher levels of efficiency and effectiveness and to maximise productivity gains.•Drive process enhancement, identify and implement strategic improvements and enhancements to existing systems, policies and guidelines to reduce risk and improve efficiency

Ensure and oversee production of regular Quality/AML reports for various stakeholders by the QC team.

Roles & responsibilities

The role may be used on either a large (complex or simple) engagement as a deputy role under a Senior Manager or on a small (complex or simple) engagement as the lead SME . The successful applicant will be responsible for oversight and management of the process of the SME for the onboarding, Periodic Reviews,remediation of KYC files. They are required to utilize their expertise, knowledge and experience to ensure that files are completed to regulatory standard, and that business processes and policies are adhered to and correctly applied throughout the process. They will be responsible for responsible for overseeing the team's quality control process and framework. Ability to drive high standards of quality in global onboarding and renewal reviews of Know Your Customer (KYC) due diligence is therefore pivotal to this role.

The ability to engage and communicate, with good people management skills and experience are therefore essential, with a demonstrable track record of having successfully led a small to medium team in an operational environment.

•Drive team to conduct customer risk assessment in full compliance with the firm policies as well as external regulatory requirements.•Liaise with the Transition Manager and provide operational input to IT Technology to ensure designed technical solutions are fit for operational purpose. Building core knowledge in team during set up activities in liaison with Transition Manager.•Monitor collection of effective and comprehensive customer information and supporting documentation necessary for the completion of Customer Due Diligence (CDD), in accordance with regulatory and internal standards.•Manage resolution of potential AML issues arising across the business unit and jurisdictions.•Identify and diagnose sub-optimal business performance. Ensure that the potential risk to company arising from money laundering and fraud, is minimised. Actively protecting the client’s interest at all times in complying with statutory regulations and legislation.•Reporting of issues of concern to Operations, Senior Leadership, and where appropriate, to the client. Initiate and support improvements to processes and techniques to achieve higher levels of efficiency and effectiveness and to maximise productivity gains.•Drive process enhancement, identify and implement strategic improvements and enhancements to existing systems, policies and guidelines to reduce risk and improve efficiency

Ensure and oversee production of regular Quality/AML reports for various stakeholders by the QC team.

Experience Level

Mid Level