Ancillary Areas

The Manager of KYC/AML 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.

This role has responsibility for provision of client support across Client Development and all clients by generation of regular KPI Service reporting to clients with KPI data provided from multiple Operational teams, governance of SLA review, adherence to risk and control frameworks including AML/KYC, and co-ordination of credit limit requests.


  • 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.


  • The role requires an experienced leader with integrity, maturity and judgement. Understanding of how to develop a dedicated performance-driven team. Committed to motivating and developing team members in a supportive and energetic environment that will in-turn enable the team to achieve its goals in a positive and sustained way.
  • Ability to work cohesively and positively with colleagues and peers at a senior management level. Demonstrated experience at enabling teams to work effectively with others to assist the team & division to deliver against strategic goals.
  • Your communication is to be open in style and contribute towards the management of internal and external expectations and reporting in respect of service delivery. Assisting other areas of the business to deliver against their goals, where you can contribute. Driving a culture of customer-focus and quality, with the ability to think strategically, always looking to enhance the performance of the team.
  • Degree qualified in Business, Commerce, Accounting or related discipline welcome
  • 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.

You are experienced in:

  • Recruiting, developing and retaining quality staff. Managing and measuring performance including the effective and timely management of under-performance.
  • Dealing effectively with staff at all levels, with interpersonal and political awareness. Team Management, systems oversight, process improvement and re-engineering, you have related experience in providing comprehensive service delivery in an operations or custody environment. You are experienced at dealing effectively with internal and external stakeholders and you manage or oversee issue resolution on the more complex issues or queries escalated for resolution.
  • Risk Management & Compliance ensuring appropriate controls are in place (in line with policies) including the oversight of the team’s handling of issues, incidents or service delivery – and a commitment to the effective management and sustained eradication of errors. In addition compliance education and ongoing policy development and implementation for the area, in line with the operational risk framework and considering technical and regulatory changes

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