WM Client Review Specialist GE
Vor 3 Tagen
WM Client Review Specialist GE & ZH - Temporary 12 months
Description
WM Client Periodic Review Team GE & ZH
Mission
The WM Client Periodic Review team is reporting to the Head of WM Business Risk & Reporting, facilitating close but independent interactions with WM Front Office and Management.
Challenges
Perform 360° client periodic relations reviews with regards to KYC, KYT Adverse news screening, SOW/SOF corroboration and notably CDB-related documentation, applying the Bank’s standards, identifying potential reputational, regulatory, sanction and money laundering related risks through evaluation of client accounts purpose, KYT and KYC completeness, plausibility and accuracy, Provide from time-to-time guidance on quality standards and regulatory requirements to assigned Relationship Managers when necessary.
Main responsibilities
Objectives
Ensure adequate AML and KYC, KYT, documentary accuracy (CDB) and adverse news screening risk mitigation on client reviews as well as the completeness of corroboration, according to the Bank’s Qualitative risk appetite, SOW/SOF corroboration standards and KYC standards. Raise and escalate any deviation to the adherence to the Bank’s standards to the relevant management, control functions and/or committees. Synchronize with Compliance and Client Documentation teams to ensure standards are met. Increase risk awareness within the WM Markets by ensuring that RMs and Team-leaders are aware of internal directives, of the regulatory requirement and updated on all new practices with a focus on AML, CDB and Sanction subjects and/or other investor protection or tax documentation. Upon management’s request, act as a relay of authority within the WM Markets on certain initiatives Raise and escalate any other identified risks. Any other task required by management relating to the mission of the employee.
Governance
Regular meetings with appropriate 2nd Line of defense functions to ensure consistency of knowledge and practices. Regular meetings with WM Relationship Managers to review the ongoing subjects and propose action plans for long standing review issues. Regular reporting on activity and associated risks
Education
Education: Bachelor Degree
Experience
Years of experience: 3-7 : intermediate Experience in private banking: Mandatory
Language
English: Advanced Other: Fluent (Russian) Other: Fluent (Arabic)
Personal skills
Swiss resident: Mandatory-
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