The purpose of this role is to support the Business Units in undertaking initial new and existing business reviews, including screening and checking for file completeness for all prospective business, and also to process Customer Due Diligence (CDD) received. To ensure that the Group companies and their clients comply with the Anti-Money Laundering (AML) laws, regulations and the relevant policies and procedures. Also, to assist with standalone or ongoing projects where necessary and as applicable to the role. The role holder is also expected to communicate effectively with the business and be self-motivated to develop skills and knowledge.
- Undertake initial new business reviews including screening, reviewing customer identification documents and checking for file completeness for all prospective business and relaying any findings to the relevant Business Units as appropriate and escalating where required;
- Work collaboratively and support the Business Units with the day-to-day administration and processing of all CDD documentation in accordance with policies and procedures;
- Undertake ad hoc and ongoing database screening using the screening tool system and conducting internet searches, analysing results, identifying areas for review;
- Monitor incoming emails and respond to CDD related queries on a timely basis;
- Proactively respond to queries from teams as part of the CDD service;
- Process CDD received by the Business Units and record this within the relevant systems and physical filing, in accordance with policies and procedures;
- Update and maintain accurate records of all CDD information received;
- Scrutinise internal policies and procedures on a day-to-day basis when undertaking work to consider or suggest ways of improving them; and
- Assist with or carry out any other projects or tasks as requested from time to time.
Developing skills and working towards being able to perform the following:
- Manage the receipt and processing of CDD as well as, subsequent to training, acting as a liaison point for the business with regards to CDD queries where possible; and
- Ensure accurate data is held in the system database and the physical files.
- Develop and maintain good relations with other staff members;
- Ensure all work is conducted in accordance with internal policies and procedures;
- Good communication skills;
- Maintain the highest standards of confidentiality and security in terms of client affairs and records;
- Monitor own performance against personal and developmental targets;
- Identify areas where further training would be beneficial;
- Maintain a record of Continuing Professional Development activity undertaken during each year;
- Undertake AML training as required by Company Policy;
- Develop an awareness of regulatory and related legislation and guidance in general; and
- Keen to learn to ensure knowledge expands and skills develop.
The role will involve intermediate to advanced experience of:
- Microsoft Office – mainly Word, Excel and Outlook;
- Familiar with screening tools and Google and/or other Internet search engines;
- Any other IT system deemed to be necessary for the role; and
- Experience with NavOne but not essential.
The role holder will:
- Hold a relevant professional qualification in CDD/AML at certificate level or above;
- A minimum of 3 years' in a similar role;
- Understanding of AML within a CDD environment and AML recording-keeping requirements. Be methodical, an analytical thinker and have excellent attention to detail;
- Be self-motivated, adaptable and flexible in approach to the work; and
- Have good organisational skills and be able to organise their time effectively.