• Reporting to the AML/KYC Operations Manager, Vice President, the AML/KYC QC Manager is responsible for the day to day line management of the AML/KYC QC Team, including performance coaching, mentoring and development
  • Responsible for ensuring timely and accurate delivery of the end to end of KYC/AML on boarding lifecycle service for new customers and accounts, completion of periodic reviews, event driven reviews, EDD monitoring and PEP analysis as required, in accordance with applicable AML policies and procedures.

Role specifics:

  • Focus on improving operational efficiency to continuously improve quality and customer service satisfaction
  • Ensure policies, procedures and job aids are maintained
  • Act as a KYC/AML subject matter expert; providing technical expertise and guidance to KYC/AML analysts as needed
  • Serve as an escalation point for operational issues
  • Manage stakeholder relationships with Relationship Management, AML Compliance and internal shared service teams    
  • Track outstanding queries and issues through to timely resolution
  • Create continuous improvement forums enabling teams and peer groups to identify and recommend opportunities
  • Review internal & external Audit reports, ensuring follow up and resolution to issues highlighted
  • Demonstrate the ‘Risk Excellence’ culture in your behaviour
  • Maintain a detailed understanding of the scope of  the role’s managerial responsibilities and the competence of the staff reporting to you
  • Ensure that your team has clear understanding of their reporting lines, authority levels, scope of responsibilities (including those delegated to them and those they delegate), objectives, training and competency requirements plus progress is reviewed regularly in line with Company policy, and are regulatory registered where appropriate for their role
  • Develop effective working relationships and communications with staff and ensure that staff are motivated, developed and supported.
  • Establish and monitor systems of control, delegated authority and escalation procedures so that the business complies with internal policies and external regulations and can be managed effectively
  • Adhere to the delegation and oversight (management information and escalation) framework in the performance of daily tasks. This includes taking proactive action to ensure there is adequate production of management information that is fits for purpose, and issues are raised as appropriate
  • Establish and monitor an effective delegation framework to ensure that tasks are performed by staff members with appropriate capacity and authority level (based on knowledge, skills and competence).
  • Establish and monitor an effective oversight framework to ensure that issues are appropriately identified, escalated and resolved. This includes: a) ensuring that appropriate management information is received, considered and challenged as appropriate at  intervals proportionate to the risks; and b) that staff members have clear understanding of the escalation path/principles
  • Establish and nurture a culture of ‘Risk Excellence’ within the team, encourage an environment of openness that welcomes effective challenge and supports open discussion.
  • Ensure that you make reasonable decisions by exercising reasonable care when considering information available to you. This includes taking proactive action to ensure that the information you have is suitable and adequate.
  • Establish and nurture a culture of individual ownership of tasks to embed a clear individual sense of accountability into staff members’ behaviour in performing their roles.
  • Ensure that the highest level of the Code of Conduct is displayed in your own and staff behaviour.

Skills and Experience:

  • Degree or equivalent work experience
  • Advanced knowledge of regulatory KYC/AML requirements
  • Experience in KYC/AML client on boarding, compliance or risk function (preferred)
  • Excellent interpersonal and organisational skills
  • Stakeholder management skills
  • Highly motivated with the ability to work under minimal supervision
  • Professional agility: ability to prioritise workloads and work to strict deadlines; quickly adapt and respond to change
  • Excellent communication skills required – both verbal and written
  • Ability to clearly communicate complex concepts in a concise manner
  • Ability to lead, coach and develop staff

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