Asset Management AML/KYC Onboarding Officer (Associate-Team Lead)
January 2015 — Present
Senior Onboarding officer responsible for managing the largest region within one of the most prestigious US banks. Seamlessly manages 18 employees over 22 markets in a high tempo, results and metric driven environment. Developed new procedures and workflow to maximize efficiency for newly designed hub within the bank. Isolated necessary metrics to establish evaluation criteria. Monitors metrics to identify strengths and weaknesses with employees, processes and procedures and develop mitigates for smoother operations. Conducts independent oversight of research and verifies appropriate risk profiles and makes independent risk assessment recommendations. Escalates as necessary appropriate concerns of risk to Private Bank. Identifies shortfalls in MIS systems for reconciliation. Partner with Bankers to collect, analyze, and validate all appropriate due diligence and onboarding documentation provided by the client. Utilizes knowledge of AML/KYC policy to independently identify missing or insufficient client due diligence information. Authors and prepares well thought out and concise due diligence commentary that demonstrates a fulsome analysis and assessment of AML/KYC risk and outlines sound recommendations to the client coverage team. Accountable for managing AML/KYC-related KPIs (key performance indicators) to ensure consistency in quality and timeliness of completion. Takes ownership of quality control issues related to client due diligence and partner with Bankers to resolve accordingly. Trained in Account opening procedures and provides supervisory oversight of all new accounts in market. Researches and analyzes negative client findings, partners with Bankers and compliance to reach resolution and ensure appropriate documentation/recording of outcome. Contact with client in partnership with the Banker and completes special projects as project manager, including remediation and others, as directed by regulators, internal audit, etc.