MEX HUB SCIB Reg Affairs and Compl Analyst II

MEX HUB SCIB Reg Affairs and Compl Analyst IICountry: MexicoCDD Ops: o Perform KYC processes applicable for new and existing customers o Manages the team's pipeline and MIS to ensure timely completion of KYC files and appropriate management of the team's capacity o Works with direct manager and local teams to maintain proactive management of client escalations, issues and other items that require special handling related to KYV files completion. o Works closely with Local and Global Compliance and Change teams and other AML/KYC functions to ensure consistent processes are being followed. o Ensure that customer record maintenance activities are accurately completed in accordance to Data Governance, AML, Regulatory and all other applicable internal Policies and Standards. o Participate in the IT and non-IT projects relating to Onboarding and KYC processes o Maintain working knowledge of all regulatory obligations and be able to relate them to Global policies and procedures teams o Thought Leadership: Play a key role in multi-disciplinary teams to address new business initiatives, IT and non-IT enhancement projects, and one-off assignments to improve customer experience and support Bank transformation o Develop strategic partnerships with other team leaders and managers with Onboarding Unit, Lines of Business and AML Financial Crimes teams. o Manage and assess the impact of the operational implementation of technology and policy change and drive continuous improvements to the quality of data Client Data:
• Work closely with the person in charge of Client Data in Spain.
• Analyze the data that Appian offers as a BAU management tool in the area, to find opportunities for improvement or review and process improvement:
• Work closely with the global and local corporate CDO office on the CLM data flow
• Represent the team on data working groups or projects associated with information maintained by CD
• Provide management with strategic updates to customer data workflows
• Provide regular management reports and updates on the status of the team and the processes it manages
• Create detailed requirements documents for the workflows you lead
• Manage customer and non-customer related data migration and integrity projects Quality Control:
• Check the Quality of the On-boarding cases across all client and non client types in line with SCIB CLM Global Manuals and Local Addendas.
• Ensure that SDD/CDD/EDD policy has been followed, standards and procedures and apply these diligently to each client review raising any queries as appropriate.
• Ensuring all required Regulatory & Tax documentation has been received, validated and escalated where necessary.
• Ensure the integrity of information in all the systems involved in the process, thus covering the E2E of the task
• Verify that escalation of high risk cases to Local RAC team / 2nd line of defence / Compliance for sign-off has been done properly. FC Ops:
• Oversight the teams managed to ensure that the Operations/transactions/alerts monitoring and controls performance of different geographies of SCIB
• Ensure all FCOPs and CE alerts reviews are tracked, recorded, and stored in line with internal policy, operational procedures and records management requirements.
• Ensure timely, efficient escalation of possible suspicious activities to the appropriated AML and Compliance Global/Local level.
• Escalate any queries regarding a potential sanctions link or heightened areas of FC risk outside of the FCOPS&CE process (i.e., CDD) to General CLM Manager and/or FCOPs Director as a first point of escalation.
• Timely execution of instructions received from AML Compliance Officers or regulators.
• Ensure the quality of the process performed for the different teams following the FCOPs and CE internal QC plan.
• As an AML and Compliance expert provide direction and guidance to employees on appropriate remediation action for all accounts.
• Assist in the development of in-person AML/CTF, Sanctions, Compliance and Operational Risk Training for new and existing employees.
• Control the execution of the weekly, bi-weekly, monthly, and quarterly reports or MI (KPI/KRI) to FCOPs Director.
• Promptly and accurately prepare scheduled reports on workload status, highlighting emerging issues to the FCOPs Director.
• Contribute to the on-going improvement of FCOPs and CE monitoring including the review and refinement of processes and systems.
• Assist in the creation, development, and review of FCOPs and CE procedures
• Assist in identifying systemic procedural weaknesses and additional training requirements for the FCOPs and CE process.