MEX Reg Affair and Compl SCIB Analyst-Country: MexicoCDD Ops: o Perform KYC processes applicable for new and existing customerso Manages the team's pipeline and MIS to ensure timely completion of KYC files and appropriate management of the team's capacityo 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 processeso Maintain working knowledge of all regulatory obligations and be able to relate them to Global policies and procedures teamso 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 transformationo 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 dataClient 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 projectsQuality 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 EE of the task• Verify that escalation of high risk cases to Local RAC team / nd 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.
