AML/CFT/Sanctions ADVISORY
Advises FO on onboarding requirements Advises on and prepares risk framework Performs gap analysis for new regulatory requirements in relation to KYC/ AML Review and update of AML/CFT/Sanctions related policies and procedures
ACCOUNT OPENING Reviews and checks client on-boarding and account opening documentation Performs detailed due diligence and compliance assessments on client on-boarding and account opening documentation Checks adherence to client with the on-boarding checklist (e.g. KYC, Hansha checks, World-Check or equivalent, Factiva searches, PEP status, Vulnerable Client etc.) Performs Customer Due Diligence and Enhanced Due Diligence
DAILY NAME SCREENING Reviews, clears with adequate justifications alerts in name screening tool (ad hoc and batch name screening, etc) and escalates relevant adverse hits
TRANSACTION MONITORING Review inflow/outflows of cash and assets Investigates unusual transactions Prepares STRs
PERIODIC REVIEWS Orga...