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BASIC

Assurance – Senior

Ey
Noida
Posted on: 17 Sep 2021

Job details


  • NATURE OF JOB Hybrid — WFH / WFO / CW
  • CATEGORY Programming
  • SALARY RANGE Best in the industry Annual
  • EXPERIENCE 1 – 3 Years
  • JOB TYPE Full Time
  • REGIONAL PREFRENCES India
  • NO. OF VACANCIES 1

Job description


At EY, you’ll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture and technology to become the best version of you. And we’re counting on your unique voice and perspective to help EY become even better, too. Join us and build an exceptional experience for yourself, and a better working world for all. Senior Associate AML Job Role: Ability to perform KYC reviews on all entity types like but not limited to individual, sole proprietor, partnership, trusts, private and public limited companies, mutual funds, hedge funds, banks, state agencies, sovereigns, charities, insurance funds and collective investment schemes. Ability to read and understand client document Should have good knowledge and ability to do research through Search engines such as world check etc. Ability to analyze complex ownership structures by reviewing constitutional and financial documents to determine risk exposure and applicable KYC/AML requirements. Additional skills in reporting/work allocation and other administrative tasks would add value. Ability to work with team members effectively to enhance team efficiency and quality outcomes. Must have percentage of quality min of 99%. Resolve issues and prioritize actions in the absence of the managers. Ability to recognize and prioritize issues through daily updates, ensuring work is completed within established timeframes. Ability to communicate confidently, efficiently and clearly in both written and verbal forms. Review KYC files as per established quality framework and meet the required agreed SLAs. Minimum Qualification to apply for this role Graduate and above preferably in Finance Overall experience of 3 to 5 years or more in KYC/AML. Relevant experience in Business Banking, Crypto currency exchange, Fintech or Retail KYC. Exposure to Transaction Analysis/ Account Analysis/ Transaction Monitoring Investigations is an added advantage. Excellent communication and analytical skills Microsoft Office, internet applications and the ability to adopt to required software applications. Desired Qualifications Good knowledge of AML KYC aspects. Good judgmental skills to balance between seeking clarification and taking ownership of the checking process. Strong communication, interpersonal, organizational, and time management skills Ability to analyze documents and identify the complex ownership structure Adhere to deadline and should be detail oriented. Demonstrated computer proficiency, including advanced knowledge of MS Excel, as well as problem solving and analytical skills. Assistant Manager AML Job Role: Conducting quality check on completed KYC files as per established quality framework and meet the required agreed SLAs. Maintain accurate, organized and current compliance records and documentation in a manner consistent with the department’s needs. Establish feedback loop between Senior Associate and management. Ownership of and contribution to various high priority projects, working with hands on approach to ensure successful completion. Assist in creating and present monthly dashboards, reports and business reviews. Review policies and procedures, regulatory compliance training for compliance with applicable laws and regulations, suspicious activity reporting and KYC regulations. Interpret evidence from multiple tools and systems to determine legitimacy of customer behavior across multiple products. Assist with monitoring and tracking incidents to ensure resolution occurs within the customer Service Level Agreement. Seek routine problems, largely through precedent and referral to general guidelines. Minimum Qualification to apply for this role Graduate and above preferably in Finance Overall experience of 5 to 8years or more in KYC/AML. Relevant experience in Business Banking, Crypto currency exchange, Fintech or Retail KYC. Exposure to Transaction Analysis/ Account Analysis/ Transaction Monitoring Investigations is an added advantage. Experience in Quality Check / Quality Control (QC) function. Excellent communication and analytical skills Microsoft Office, internet applications and the ability to adopt to required software applications. Desired Qualifications CAMS certified will be preferred Experience in conducting business banking/Retail KYC for all type of client entities, like but not limited to individual, sole proprietor, partnership, trusts, private and public limited companies, mutual funds, hedge funds, banks, state agencies, sovereigns, charities, insurance funds and collective investment schemes. End to end understanding of KYC operations from documentary and non-documentary verification as per CIP/CDD policy, Ultimate Helpful Ownership (UBO), nature of business, source of wealth / funds and customer screening against watchlist of Sanctions, PEP and adverse media. Ability to conduct and mentor resources to conduct detailed investigations using vendor and open sources to remediate compliance alerts. Ability to independently research, analyze, and recommend solutions to close open items and discrepancies with client Reviewing transactions to establish utilization and source of fund as per expected activities Outstanding analytical and investigative skills combined with the ability to navigate through ambiguity in a fast-paced, multifaceted environment Excellent understanding of AML/KYC terminology. Provide guidance and training to senior associates and new joiners. Experience in conducting business banking/Retail KYC for all type of client entities, like but not limited to individual, sole proprietor, partnership, trusts, private and public limited companies, mutual funds, hedge funds, banks, state agencies, sovereigns, charities, insurance funds and collective investment schemes. End to end understanding of KYC operations from documentary and non-documentary verification as per CIP/CDD policy, Ultimate Helpful Ownership (UBO), nature of business, source of wealth / funds and customer screening against watchlist of Sanctions, PEP and adverse media. Ability to conduct and mentor resources to conduct detailed investigations using vendor and open sources to remediate compliance alerts. Ability to independently research, analyze, and recommend solutions to close open items and discrepancies with client Reviewing transactions to establish utilization and source of fund as per expected activities Outstanding analytical and investigative skills combined with the ability to navigate through ambiguity in a fast-paced, multifaceted environment Excellent understanding of AML/KYC terminology. Manager AML Job Role: Apply risk and control methodologies to ensure the right controls are in place and are assured appropriately. Highlight thematic issues and key risks arising out of the tests along with mitigating controls to the client on a regular basis Communicate with Technology and Business teams and ensure adherence to policy Strong analytical, interpersonal and communication skills across various levels in the organization High level of competency in producing detailed documents focusing on audit/assurance requirements - from explanations on how an application works, and how requisite sanctions related blocks are in place. Lead resolution/reporting of any outstanding sanctions blocking issues Review periodic management reports (system generated and exception reports) and ensure management is kept up to date on key tasks, risks and issues; and the progress on resolving these. Provide feedback to Assistant Manager and Senior Associates. Highlight exceptions to Technology, Business, 1st Line, 2nd Line and relevant stakeholders. Advanced MS Office skills along with good presentation skills and a clear understanding of Risks and controls and Audit Deliver on ad-hoc requests as part of the Channel blocking projects and initiatives Ability to work independently. Ensure relevant documents are evidenced in an easy way to access (e.g. secure Sharepoint) and follow bank’s standard governance requirements Ability to work under tight timelines. Review policies and procedures, regulatory compliance training for compliance with applicable laws and regulations, suspicious activity reporting and KYC regulations Interpret evidence from multiple tools and systems to determine legitimacy of customer behavior across multiple products. Assist with monitoring and tracking incidents to ensure resolution occurs within the customer Service Level Agreement. Seek routine problems, largely through precedent and referral to general guidelines. Minimum Qualification to apply for this role Graduate and above preferably in Finance or Law. Overall experience of 8 years or more in KYC/AML. Ability to work independently, meet deadlines and obtain results Ability to understand and communicate technology architecture, landscapes and requirements. Ability to understand business needs and turn them into tech requirements is a plus Audit or risk and controls background is essential/preferred with analytical skills. Understanding of technology used for various banking channels like ATM, CDM, Phone Banking etc. AML Compliance or Audit experience, particularly in connection with KYC and the Regular Review process would be an added advantage. Ability to multi-task and work under pressure. Adept at critical evaluation of complex concepts and anticipate needs/events and give advice before an issue arises. Desired Qualifications CAMS certified will be preferred Experience in banking industry. Work experience in legal, compliance and contract management are an added advantage. Should have managerial experience with experience of handling a team. Customer centric and have strong business acumen. EY | Building a better working world EY exists to build a better working world, helping to create long-term value for clients, people and society and build trust in the capital markets. Enabled by data and technology, diverse EY teams in over 150 countries provide trust through assurance and help clients grow, transform and operate. Working across assurance, consulting, law, strategy, tax and transactions, EY teams ask better questions to find new answers for the complex issues facing our world today.

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