• Review and completion of CDD cases within agreed timelines.
• Responsible for obtaining and reviewing documents to meet regulatory & AML requirements in line with SCB policy and procedures.
• Source documents from research tools and public domains.
• Review documents like AOA, MOA, Registry, Board Resolution and identify the Beneficial Owners of the client.
• Ensure the selected ISIC and additional ISIC are in line with the nature of business of the client.
• Complete public domain searches to identify Adverse News & Sanction Nexus.
• Complete forms like Adverse Media Assessment Form, PEP Assessment Form, Sanction Review Assessment Form, etc.
• Ensure the high quality in the cases completed.
• Responsible as a central coordinator for Legal Entity Management process involving creation, verification and maintenance of Client and Non-Client Entity profiles in the golden source system.
• Conduct search for Entity data using Acceptable Data Sources (ADS) as per the Group and Country Standards.
• Engage with the Relationship Managers (RM), Client Managers (CM) and / or Integrated Middle Office (IMO) to gather Client related information and / or supporting documents / evidences.
• Create & enrich Entity profile with data obtained through search process & stakeholder engagement.
• Raise Entity Maintenance request based on different channels of trigger events like static data maintenance, FCC trigger event, change in circumstances for client.
• Manually trigger the Dormancy and Reactivation request though LEM in Client Central for both Client and Product Dormancy and Reactivation activity, as well as Manual cancellation of in-flight activity as required.
• Manually trigger the Offboarding request in Client Central for both Client and Product Offboarding activity, as well as Manual cancellation of in-flight activity as required.
• Ensure core Entity data attributes are captured and verified with at most diligence and accuracy.
• Conduct regular reviews across relevant Entity types in line with a defined set of internal standards.
• Ensure completeness and accuracy of Entity records achieving a correct balance between required quality targets and ensuring that key productivity deliverables are met.
• Manage and resolve conflicts related to sourcing and inconsistencies in data and documentation via discussions or escalate to relevant team / function.
• Report findings on an agreed frequency and to relevant stakeholders through respective portals/ channels to ensure that data discrepancies and / or deficiencies are managed as per data quality and process standards.
• Provide accurate and standardized reporting with key insights to communicate business insights and operational performance.
• Adhere to required compliance and training mandates as per SCB group policy.
Bachelors
CDD,
Banking/Financial Services/Broking