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ICG KYC Post Execution Quality Reviewer

Job Req ID 22560816 Primary Location Shanghai, China Job Category Compliance and Control
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Job Purpose:

The Post Execution Quality Reviewer (PEQR) will be part of the ICG KYC Post Execution Quality Review Team unit. The unit is tasked with conducting quality control reviews across Corporate and Investment Bank, Direct Custody & clearing and Investor services client population. Responsibility includes reviewing approved KYC records and measuring correctness, completeness & consistency of these records. The program engages stakeholders and provides formalized defect reporting and feedback on a monthly basis to senior management/stakeholders involved in the KYC Record process.  The objective is to improve the quality of the KYC Records

Job Background/context:

The Information Services Group (ISG) is responsible for providing KYC operational services to our clients across the Institutional Client Group (ICG), through implementing state of the art technologies which promote the collection, research, storage, and processing of KYC data. The unit is responsible globally to ensure the ICG Business remains compliant to or exceeding the standards mandated by AML/KYC Compliance organization and regulators.

The ICG KYC Post-Execution Quality Review team within the ICG KYC Utility is responsible for performing Post-execution quality reviews on KYC profiles as per guidelines

Key Responsibilities:

The responsibilities of Post Execution Quality Reviewer are as under:

  • Conduct end to end post approval reviews of KYC Records ( All client types)
  • Report deficiencies on a timely basis.
  • Act as primary point of contact for assigned region
  • Engage with Stakeholders/Senior management and ensure timely PEQR feedback loop
  • Conduct root cause analysis by identifying & analyzing areas of common defect/issues/themes
  • Assist in defining continuous improvement plan and track implementation and success of initiatives
  • Achieve operational goals set, and deliver against agreed targets in terms of quality and productivity
  • Provide updates at regular meetings with KYC Operations, RCT, Compliance, etc.
  • Manage remediation projects / initiatives and report on progress as required
  • Assist with department projects / initiatives as requested

Development Value:

The successful candidate will have an excellent opportunity to develop a broad knowledge of KYC and operational concepts, and needs within a major global financial organisation, building on their current Quality/AML-KYC experience.

Knowledge/Experience:

Required

  • A proven track record with at least 3-5 years of relevant KYC/AML experience (i.e. Quality Assurance, Client Onboarding, Compliance, Audit and Regulatory)

Preferred

  • Compliance, Audit and Regulatory experience desirable
  • Strong Operations experience desirable
  • Global experience would be beneficial

Skills:

  • Exhibit good written and verbal communication skills.
  • Possess the ability to work with various Stakeholders and build and maintain effective working relationships
  • Ability to proficiently use MS Office products, particularly Word, Excel and PowerPoint
  • Strong analytical and time management skills, excellent attention to detail

Qualifications:

  • Bachelor’s Degree or higher with at least 3-5 years’ experience in relevant domain
  • AML/KYC Certifications like ACAMS preferred

Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience.

Competencies:

  • Ability to multi-task and work independently
  • Ability to work to tight deadlines as part of a team.
  • Exhibit good attention to detail while focused on delivery.
  • Ability to work on several initiatives concurrently and cope with changes in priorities.
  • Proactive and “no surprises” approach in communicating issues and strength in sustaining independent views

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Job Family Group:

Compliance and Control

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Job Family:

Business KYC

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Time Type:

Full time

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Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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