KYC Quality Assurance - SME, AS

Overview

Operate as a KYC Quality Assurance SME within the Private Bank KYC QA function, supporting the implementation of a globally consistent KYC QA program that independently assesses KYC files and client risk ratings.

What you'll do

• Support the QA Team Lead in DIPL to implement a globally consistent KYC QA program.
• Review KYC files on a sample basis by applying the QA methodology to deliver an objective review of client files for APAC locations.
• Identify risks within KYC documentation and confirm issues have been remediated and/or appropriately escalated through the escalation process.
• Ensure QA is performed in compliance with the relevant policy, procedures, and testing standards.
• Interact with key stakeholders across the business and collaborate with other teams as required.
• Prepare concise, timely reports and MI, and compile reports and trend analysis to identify key issues and areas for improvement.
• Maintain the Private Bank KYC QA approach and methodology, keeping it consistent and up to date.
• Keep abreast of regulatory developments that may impact monitoring requirements.
• Sustain a culture of teamwork and collective achievement of departmental goals across QA and CLM teams.
• Assist on projects as required.

What you'll need

• Graduate degree (BA/BS/B.Com, etc.) with 8+ years of experience in the relevant field.
• Experience working in financial crimes in a financial institution.
• Working knowledge of international banking business and products.
• Good understanding and application of relevant AML and KYC regulation and legislation.
• Proven ability to leverage AI tools to enhance productivity and optimise workflows, applying critical judgment to ensure responsible and ethical use of data and AI outputs.
• Strong written and verbal communication skills, with the ability to communicate effectively with Compliance, the line of business and technical team members and to influence stakeholders.
• A basic understanding of financial crime risks and internal controls.
• Analytical, with the ability to provide practical solutions for minimizing risk.
• Able to work independently to manage projects and deliverables to completion.
• Able to manage competing deliverables effectively for on-time delivery and remain calm under pressure.
• Computer literate and conversant with Excel, Word, PowerPoint and Access.

Nice to have

• Experience with regulators and managing regulatory examinations.
• Experience of working within a multinational organization.
• Singapore and Hong Kong Wealth Management KYC experience.
• Understanding and application of relevant AML and KYC regulations and legislation, including the German AML Act, German Banking Act, 3rd and 4th AML EU Directives, US BSA and other supporting regulations worldwide.

Details

• Location: Bangalore, India.
• Reports to the BRC KYC QA Global Team Lead for guidance and authority.