Key Responsibilities

1. File Review & Analysis
• Conduct comprehensive remediation reviews of existing customer files.
• Identify missing information, documentation gaps, and discrepancies against KYC, CDD, and EDD standards.

2. Due Diligence Execution
• Perform complete CDD and EDD reviews for high-risk and complex client types such as Trusts, Funds, PEPs, high-net-worth individuals, and complex corporate structures.
• Identify and verify Ultimate Beneficial Owners (UBO) and assess Source of Wealth (SOW) and Source of Funds (SOF).

3. Information Sourcing
• Gather and validate client information using internal systems and external databases such as World-Check, OFAC sanctions lists, and adverse media search tools.

4. Documentation & Record Keeping
• Accurately record all findings, updates, and the reasoning behind risk classifications.
• Maintain a complete audit trail within client management systems to ensure transparency and compliance.

5. Stakeholder Coordination
• Collaborate with Front Office/Sales, Legal, and Compliance teams to collect missing documents and resolve data-related issues.
• Ensure timely communication and follow-ups for file completion.

6. Escalation & Reporting
• Identify complex, high-risk, or suspicious cases and escalate them to senior management or the AML Compliance Officer.
• Report concerns regarding potential money laundering or non-responsive clients promptly.

7. Process Improvement
• Contribute to enhancement initiatives aimed at improving remediation workflows, documentation standards, and overall process quality.