o Reviewing KYC files on monthly basis in KIWIS.
o Annual KYC review of existing clients and preparing review report for the same as per control plan.
o Advising the business on KYC related queries.
o Assist with HO Reporting on monthly basis on updated KYC status.
o Follow up of KYC reviews
RBI reporting and updating:
o Preparation of regulatory reporting assigned to compliance department on monthly, quarterly, yearly basis.
o Dissemination of notices and request for information from regulators to relevant departments. Follow up for submission on the same.
DAILY TASK:
o Checking RBI website on daily basis for regular update.
o Sending Large Transaction Reports to all the Relationship Mangers of all the branches on daily basis, seeking their responses and solving their queries, if any.
o Analyzing and sending all the relevant circulars received from RBI, IBA, FEDAI to relevant departments.
o Review and clearing of KYC review alerts, fircosoft, Actimize WLF, Actimize AML alerts.
o Disseminating existing compliance policies to new staff and maintaining the acknowledgements.
MONITORING:
o Review of cheque inward and outward return on quarterly basis
o Advise to branches on queries for ECB applications to be submitted by the clients to the RBI
o Generating sensitive client transaction from intranet and reviewing the same on quarterly basis.
o Reviewing of Compliance Reporting System for regulatory and non regulatory returns submitted by all departments and monitoring for timely submission.
o Follow up and review of Equity declaration of employees.
REPORTING:
o Monthly HO reports on KYC, Frauds, Compliance issues, Trainings etc.
o Preparing required information sets for Compliance Management Committee meetings.
o Preparing MIS for HO reporting on quarterly and annual basis.
DATABASE MAINTENANCE:
o Maintaining Employees database for all over India.
o Maintaining database for training status.
o Maintaining Personal Equities information of all permanent employees of all branches in India.
o Maintaining Employee classification status as sensitive or Non-sensitive per the Employee Equities Policy.
Location : Mumbai
Experience: 0 to 1 yrs
Education: (UG - Any Graduate - Any Specialization, Graduation Not Required) AND (PG - Any PG Course - Any Specialization, CS)
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Compiance Trainee at Credit Agricole Corporate & Investment Bank
