Conducting due diligence on prospective and existing Private Wealth Management ,clients to identify issues presenting potential legal, regulatory, sanctions or reputational risk, primarily utilizing publicly available data sources, vendor reports and reviewing client documentation.
Escalating potential KYC issues to the KYC team manager and/or senior business management.
Documenting potential issues, mitigating factors and rationale for approval in the relevant systems.
Managing document retention in accordance with applicable AML regulation and firm policies.
Implementing applicable AML policies and procedures.
Collaborating closely with the global Anti-Money Laundering/Suspicious Activities Group, the Government Sanctions Group, the Anti-Bribery Group, the Electronic Communications Surveillance Group, and the Global Surveillance Group
Skills: Basic Requirements:
Strong analytical, investigative and risk assessment skills
Ability to prioritize demanding workflows, detailed-oriented and well organized
Ability to take ownership, work independently and yet still be team-oriented
Excellent written and verbal communication skill
Effective interpersonal skills
Proficiency in PowerPoint and Excel, and experience in external database searches, such as World Check, Factiva, and Lexis/Nexis