Senior Process Expert

: • Good knowledge & Understanding of AML/KYC /BSA/UK/EU regulations) and other local act regulatory requirements across geographies. • Hands on experience on working on any regulatory requirements such as DFA, EMIR, MIFID, FATCA, CRS, SFTR, HKMA and MAS. • Good Knowledge and understanding of Captial Markets products and services such as Fixed Income, Equities, FX, Derivatives, commodities, CDO, DCM. • Assess the client data and documents to identify if the client meets regulatory requirements across jurisdictions • Review if all the necessary document, static data and corresponding evidences are on file to comply with regulatory requirement. • Strong collaborative abilities with various banking business areas Sales/Relationship Managers, Compliance & Audit teams. • Check for correctness, including validation of client and completeness of documents received against existing regulations. • Remediate the findings in line with bank's policies and procedures. • Reports compliance & control exceptions and deficiencies to the Managers. • Develop expert knowledge in regulatory requirements, processes, and systems across global jurisdictions, Perform reconciliation and exception management as per the various regulatory requirements. • Implement process level changes in tune with evolving regulations and industry best practices.
• Ensure the process risks are identified and mitigated effectively, and prevent breaches.
• Ensuring operational targets on productivity and quality are achieved as agreed with the consortium • Responding to queries, handle level 1 escalation and provide solution for closure of open points • Experience in performance Quality Checks (4 Eye checks) on AML/KYC & Regulatory process performed by Level 1 Analyst.
• Oversees and ensures consistent training and knowledge transfer team members on any process changes or updates • Provide feedback to analyst on quality and performance to meet the project deliverables, perform Root Cause Analysis and design adhoc need based trainings to improve delivery quality.

Skills and Experience :
• 3-6 years of total experience with relevant experience in AML/KYC and capital Markets regulatory requirements.
• Relevant financial service experience, ideally within CIB space
• Knowledge of the regulatory environment is highly desirable (DFA, EMIR, MIFID, FATCA, CRS, SFTR, HKMA and MAS)
• Familiar with a range of external data sources and third-party systems to be covered as a part regulatory requirements