Riverforest Connections Private Limited
Location
Mumbai | India
Job description
Role Purpose
Responsible for managing a team of CDD/AML analysts who will be evidencegathering for
new clients and the renewals of existing client relationships compliant with standards
policies and procedures and international regulations. The role may involve interactions
with Compliance Client Onboarding and Sales team and Data Management functions
therefore excellent interpersonal skills are required.
Responsibilities
Day to Day management of a team of CDD/AML Analysts including:
Team and individual performance
Maintaining quality of work
Allocation of work and resources
Training and coaching and development of CDD Analysts
Provide subject matter expertise to the CDD analysts in gathering data and supporting
documents regarding clients from a range of independent data sources.
Support the CDD Analysts to identify data and documentation gaps and coach them on
researching accordingly.
Support the CDD/AML Analysts to validate the clients risk profile and raising any points
of concern such as negative news.
Ensure all required AML / CDD Regulatory requirements for existing clients are still in
place.
Liaise with other teams as necessary as part of the CDD remediation process including
the Quality Control (QC) team.
Respond to feedback provided and rework cases as required based on feedback from
QC.
Act as an escalation point for issues that may require Compliance and other relevant
parties
Monitor and track outstanding cases to make sure cases are completed within the set target
dates escalating where appropriate to the client team.
Follow global standard policies procedures and tools.
People Leadership
Conducting monthly 1:1 with team members
Set up the objectives and goals for team members and provide feedback whenever
needed.
Conducting 4 eye checks
Assisting the Ops Manager with their daytoday tasks
Handling queries from the business pertaining to onboarding and remediation
Standing in for the Ops Manager in their absence
Producing MI Conducting ad hoc projects when required
Experience & Personal Attributes
24 years of experience performing AML/CDD reviews in the financial services industry
Experienced in managing teams of up to 15 FTE
Good stakeholder management skills
Strong Risk awareness (incl. Operational Compliance Business and Reputational)
Deep understanding of the endtoend CDD and client onboarding processes
Experience of onboarding across different client types (i.e. Corporate Hedge Funds
Financial Institutions and SPVs)
Understanding of sourcing information from various data sources(Bloomberg Factiva
Lexis Nexis etc.) and in several cases utilizing financial reports and audited statements for
such purposes
Excellent written and oral communication skills as well as attention to detail
Ability to be highly flexible and react swiftly to changing priorities and urgent situations
Process improvement and efficiency
Willing to occasionally attend conference call meetings outside normal business hours
AML,KYC,CDD
Job tags
Salary
