The Case Manager role is an AML/KYC control function within the Institutional Clients Group responsible for the preparation, development, due diligence and approval of the electronic Customer Acquisition Due Diligence (eCADD) in partnership with Relationship Management and Compliance.
- Carry out name screening of entity, directors, beneficial owners in NESS ( Name and Entity Screening System).
- Collate and review information internal and external sources for company news (Firm website, Regulatory websites, Company website, Dun & Bradstreet, Google etc.).
- Validate the information within the CADD and CIP document to ensure complete and accurate ( Company/Entity Formation, Ownership, Management, Market Reputation etc).
- Complete checklist to demonstrate work carried out.
- Report workflow progress to supervisor.
- Liaise with internal departments including Relationship Teams, Account Documentation Unit, AML Compliance.
- Complete eCADD incorporating local regulatory requirements.
- Meet agreed daily targets for eCADD review and completion within agreed Service Level Agreement timeframes.
- Update workflow database regularly throughout the day.
- Highlight any discrepancies to BSU Senior Case Manager.
- Follow up with Relationship Managers for outstanding information.
- Report any negative news to AML Compliance department.
- Assist relationship and coverage teams globally in completion of the CADD and CIP-P (Customer Identification Programme) documents.
- Coordinate and carry out CADD renewal process with coverage, business, and compliance.
- Manage flow of CADDs to adhere to internal SLAs.
- 1 – 3 years’ experience in banking or finance.
- Experience in control/risk or Compliance (AML/KYC) function (an advantage).
- Proficient use of Microsoft Applications (Word, Excel, Access).
- English - Upper Intermediate.
- Proficient use of ECADD application as a plus.
- University degree in Business/Finance, Math, Economics, or Law.