KYC / AML Compliance – 2IC

Sydney

Ancillary Areas

Permanent

The objective of this role is to support our client’s Australian branch in the achievement of its business objectives by providing support services to the Sales, Relationship & Client Service Management functions. This support enables Sales Managers and Relationship Managers to concentrate on the ‘core’ functions of acquiring new clients and cross selling products and services to existing clients as well as strategic relationship management. The Senior KYC/AML Officer will work with the Client Development Team to maintain a strong understanding of a client’s current and future needs to assist with the generation of new revenue

Key Responsibilities:

• Co-ordination, management & validation of new client KYC and periodic client KYC reviews for AU & NZ.
• Perform regular scanning of Clients and key principles against Black lists.
• Provide annual training to the Client Development team on KYC requirements.
• Collation of KPI & Statistical data from across the Operations areas to incorporate into regular client report cards.
• Generation of standardised report cards on a monthly/quarterly basis (periodicity may depend on client requirements) using MS Power Point and MS Excel (VBA / Macros & formulas) whilst adhering to agreed delivery time frames within clients SLA’s.
• Management and co-ordination of Credit applications to relevant Credit Analysis Team.
• Collation of all relevant supporting documents and information from business and client for Credit limit reviews.
• Responsible for delivery of Compliance Certificate, ISAE3402 to clients & maintenance of the client distribution list.
• Compliance Control Plan testing.
• Maintenance of compliance framework for the Client Development Team and close out any Compliance remediation items.
• Preparation and maintenance of Business Impact Assessments for BCP for Client Governance.
• Maintenance of governance framework for the Client Development and in some instances the broader business.

Experience required:

• As 2IC, this role requires an experienced senior with strong organisational skills to support the Manager in the day-to-day operations of the team and assist in mentoring the team.
• This is a hands on role where you will be responsible for ensuring deliverables are met whilst supporting a positive team culture.
• You will be ready to step up and have the ability to adapt to varying environments and change, provide support to other team members, whilst being able to work independently.
• You will be an enthusiastic, reliable, flexible and pro-active person who enjoys working in a collaborative and supportive team environment.
• You will bring an innovative approach to the team’s tasks and share your ideas with the team to increase efficiency.

Skills required:

• Degree qualified in Business, Commerce, Accounting or related discipline welcomed.
• Strong regulatory knowledge of know your client (KYC), anti-money laundering (AML) and compliance frameworks is preferred.
• Key systems experience includes MS Word, Intermediate Excel (VBA, Macros & Pivot tables preferable but not essential), Visio & Adobe Professional and MS PowerPoint.