14 Aml Regulations Jobs

As a KYC (Know Your Customer) Operations Auditor at PhonePe, you play a crucial role in ensuring adherence to regulatory requirements and internal policies concerning merchants" due diligence. Your primary responsibilities include conducting detailed audits of KYC processes and documentation to verify accuracy, completeness, and compliance with established standards. Meticulous attention to detail, strong analytical skills, and the ability to interpret and apply regulatory guidelines effectively are essential for success in this role. Your key responsibilities will involve conducting thorough audits of KYC verifications processed by the team, evaluating the accuracy and completeness of KYC information collected during merchant onboarding and reviews, and ensuring compliance with regulatory requirements, internal policies, and standard operating procedures. Additionally, you will monitor KYC processes and procedures to align with regulatory changes and internal guidelines, analyze trends in KYC data to identify risks, and recommend improvements to policies based on audit findings and best practices. You will be responsible for preparing detailed audit reports summarizing findings, conclusions, and recommendations, as well as communicating audit results clearly to management and stakeholders. Collaboration with KYC operations teams to address findings and implement corrective actions, providing training on regulatory requirements and audit best practices, and fostering a culture of compliance and continuous improvement within the KYC operations function are also part of your role. To be eligible for this position, you should have at least 2 years of experience in KYC operations, compliance, or audit within the financial services industry. A strong understanding of AML regulations, KYC processes, and customer due diligence requirements is necessary, along with excellent analytical skills, attention to detail, organizational capabilities, and proficiency in using audit tools and software for documentation review and reporting. Key competencies for success in this role include integrity, ethical conduct, analytical thinking, problem-solving skills, effective communication, interpersonal abilities, independence in work, teamwork, and adaptability to evolving regulatory requirements and industry trends. PhonePe values its employees and offers a range of benefits including insurance coverage, wellness programs, parental support, mobility benefits, retirement benefits, and other perks for full-time employees. Working at PhonePe provides a rewarding experience with opportunities for creativity, role expansion, and collaborative work environment. Join us at PhonePe and be a part of a dynamic team that values innovation and empowers you to make a meaningful impact!,

PURPOSE OF THE JOB: We are seeking a dedicated and experienced AML (Anti-Money Laundering) Compliance Officer. The chosen candidate will be responsible for ensuring the company's adherence to AML regulations and guidelines, safeguarding the organization against potential financial crime risks. As an AML Compliance Officer, you will play a crucial role in maintaining the integrity of our operations and contributing to the overall success of our compliance efforts. DUTIES & RESPONSIBILITIES: Conduct thorough and ongoing reviews of customer information, transactions, and activities to identify and escalate any suspicious or potentially fraudulent behaviour in compliance with AML regulations. Collaborate with internal departments, such as operations, underwriting and claims, to gather and assess relevant customer information and documentation. Monitor insurance applications and payments for unusual or irregular patterns, and report findings to senior management and relevant authorities as necessary. Maintain up-to-date knowledge of relevant AML regulations, and industry best practices to ensure the company's compliance program remains effective and current. Assist in the development and implementation of AML policies, procedures, and training materials for employees to ensure consistent understanding and adherence across the organization.

Responsible for performing Client onboarding / Client Review functions Evaluating and Approving new customer account documentations and supporting information in order todetermine whether they satisfy the client onboarding identification requirements as per Nomura policies and procedures Conduct the background screening on the Client name other officials names using tools such as WorldCheck / DJX / Factiva. Interact with the front office/client integration to ensure that proper account documentation is obtained from the customer prior to approving client on boarding Interface with and provide support to Client on boarding, FCT and Compliance teams Reviews and Approvals of Static Data Amendments for existing customer accounts Conduct reviews of existing clients for status, data veracity and amendments, status, country of incorporation and assign appropriate risk classification Mandatory Skill Set : Strong understanding of AML and Client Onboarding regulations for India/AEJ Attention to detail and commitment to quality. Strong writing and verbal communication skills. Strong time management skills and ability to multitask. Outstanding analytical and problem solving skills. Desired Skill Set : Strong desire to learn each task and ensure completion in a timely manner Bachelor s degree and expertise in CDD/AML Ability to think strategically, along with the business and compliance. Ability to work independently and perform complex AML surveillance reviews and investigations analysis. Experience in working with virtual teams is a plus

As a Client Operations Coordinator within the Client Operations Group, your main responsibility will be the day-to-day execution of client tasks. Leveraging your operational skills and knowledge, you will work towards meeting the business objectives and requirements of clients and project initiatives. In this role, it is crucial to embody a strong entrepreneurial spirit, foster a highly collaborative environment, communicate ideas effectively, adapt to changes seamlessly, and identify and capitalize on opportunities. You will provide support to the COG Operations Specialist and/or Manager during interactions with the Managed Services leadership team, ensuring accurate and timely dashboard reporting for your clients. Your role will involve executing and completing daily tasks in alignment with client objectives, updating project documentation regularly, and collaborating with COG specialists and managers to uphold project structures, goals, and resource requirements. Furthermore, you will play a key role in new client and Full-Time Employee onboarding procedures, maintaining reporting tools and documents according to client and Managed Services leadership specifications, and participating in forecasting, invoicing, and revenue estimation for Managed Services engagements. Your contribution to COG business development and growth initiatives is essential, including identifying new opportunities to enhance operational support across client engagements based on a deep understanding of clients" AML programs and operations. Additionally, your involvement in internal strategic initiatives across the COG will focus on standardizing project management and operating tasks. Qualifications for this role include a Bachelor's Degree, proficiency in project management to ensure effective management of scope, budget, and timelines for both internal and external projects, and the ability to identify and resolve potential risks and issues promptly while aligning with business objectives and requirements. Strong technical knowledge in software tools such as MS Excel, MS Word, MS PowerPoint, Domo, Tableau, and MS BI is highly preferred. Preferred qualifications for the Client Operations Coordinator position include subject matter expertise in fraud and/or sanctions, as well as an understanding or knowledge of AML regulations. Your success in this role will be amplified by your entrepreneurial spirit, collaborative nature, ability to articulate ideas clearly, agility in managing change, and aptitude for identifying and leveraging opportunities.,

This position supports documentation and research needs for Compliance Operations and will be part of the GAC Compliance & Risk team. You will be responsible for performing data entry, maintaining databases, and generating management information reports. Your role will include the administration of data, data analysis, exception handling, RCA, and client management. You will prepare documents and upload them to content management systems to maintain electronic document files, ensuring the required documents are received, indexed, and stored. Additionally, you will create customized reports periodically and on request, capturing key data points and flagging statuses requiring attention. Your support will extend to global teams in New York, London, Singapore, and Hong Kong. It is crucial to maintain data quality, extract relevant information from unstructured data for databases and case management systems, and organize electronic document files. Knowledge of AML Regulations/legislation and KYC requirements would be preferred. In terms of client and stakeholder management, you will own all deliverables to the client and be accountable for the timeliness and quality of all tasks and activities delivered. You must ensure a top-quality user/service experience and develop and maintain relationships with client counterparts. The ideal candidate should possess oral and written English proficiency, be motivated, able to work independently and remotely, and proficient in MS Excel. Proficiency in Python and Power BI would be an added advantage. You should have the ability to work on multiple projects, set priorities, and preferably hold a Bachelor's degree or equivalent education.,

Manager AML (Anti Money Laundering) Compliance...Imm-Joiner @ Gurgaon_Urgent Job Description ( Deliverables, Decision level, Demonstrate & Dimensions ) Job Title: AML Function: Compliance P urpose of the Job (Brief) The incumbent will be responsible to ensure that Bank complies with AML regulations and provides necessary support to the Compliance function in monitoring of transactions. Deliverables (Maximum 5-6 key responsibilities) 1. Closure of alerts with respect to AML 2. Recommending STRs on cases fit for STR filing 3. To do various transaction monitoring activities 4. Preparation and Updation of data for FIU reporting 5. Suggesting AML process improvement plans to eliminate gaps 6. Ensuring that the Bank complies with RBI regulations and provides necessary support to the Compliance function. Demonstrate (Key competencies) Team player and result-oriented In-depth knowledge on PMLA Analytical and problem solving abilities Excellent communication skills Hands on MS-Excel; SQL would be an added advantage Decision Level Prime: Final Decision Making authority, accountable to the Management 1) Closure of AML alerts 2) Conduct trainings on RBI Compliances 3) Process Improvement Plans 4) Reporting and presentations on non- compliances Shared: Decisions reached jointly with peers on a collective basis 1) Documentation on AML procedures 2) Coordinate with internal auditor Contributory: Makes a major contribution to a decision or policy judgment reached by others 1) Guidance to staff and various team members on AML related issues. Educational Level Post Graduate preferably in Banking related courses Working Experience: (3 -8 years / 9 - 15 years) in Banking industry

This position supports documentation and research needs for Compliance Operations and will be part of the GAC Compliance & Risk team. In this role, you will be responsible for performing data entry, maintaining databases, and generating management information reports. Your duties will also include the administration of data, data analysis, exception handling, Root Cause Analysis (RCA), and client management. You will be required to prepare documents and upload them to content management systems to maintain electronic document files, ensuring that all necessary documents are received, indexed, and stored properly. Additionally, you will create customized reports periodically and upon request, capturing key data points and flagging statuses that require attention. Your support will extend to global teams, primarily in New York, London, Singapore & Hong Kong. As part of your responsibilities, you must possess the ability to maintain data quality, extract relevant information from unstructured data for inclusion in databases and case management systems, and organize electronic document files. Knowledge of AML Regulations/legislation and KYC requirements would be advantageous. You will be expected to take ownership of all deliverables to clients, ensuring timeliness and high quality in all tasks and activities. Building and maintaining relationships with client counterparts will be crucial for success in this role. The ideal candidate should have excellent oral and written English proficiency, be self-motivated, able to work independently and remotely, and proficient in MS Excel. Proficiency in Python and Power BI would be considered an added advantage. You should also have the ability to manage multiple projects simultaneously and prioritize effectively. A Bachelor's degree or equivalent education is preferred for this position.,

This position supports documentation and research needs for Compliance Operations and will be part of the GAC Compliance & Risk team. You will be responsible for regulatory reporting, refining and enriching data through analysis, research, and logical assessment. Interacting with the onshore team and handling exceptions in data will be part of your responsibilities. You will be providing Root Cause Analysis (RCA) and implementing corrective measures for data failures while maintaining the integrity and quality of data. Ensuring tasks are executed per guidelines and meeting required Service Level Agreements (SLAs) is crucial. Adherence to performance tracking mechanisms, policies, and procedures is essential. Your role will involve supporting the S&P staff globally, particularly those located in New York. You should have the ability to extract relevant information from unstructured data and input it into databases and case management systems. Conducting Due Diligence and Know Your Customer (KYC) research for clients as part of Anti-Money Laundering (AML) Compliance remediation, as well as screening, due diligence, and monitoring of suspicious transactions, will be part of your responsibilities. A strong working knowledge of Microsoft Office, AML Regulations/legislation, and KYC requirements is essential. You will be expected to take ownership of all deliverables to clients, ensuring timeliness and quality in all tasks and activities. Developing and maintaining relationships with client counterparts is crucial for a top-quality user experience. The ideal candidate should possess oral and written English proficiency, be self-motivated to work independently and remotely, proficient in MS Excel, Python, and Power BI. The ability to work on multiple projects, set priorities, hold a Bachelor's degree or equivalent education, and demonstrate strong analytical, problem-solving, collaboration, and coordination skills are desired for this role.,

At Citco, we have been leading the market and providing premier asset servicing solutions since our inception in 1948. Our pioneering spirit drives us to innovate, expand, and shape the future of the industry. We have evolved from exclusively working with hedge funds to serving all alternatives, corporations, and private clients across various asset classes and geographies. Our commitment to progress is unwavering, always focusing on delivering exceptional performance. If you are seeking to excel in your career and be at the forefront of the industry, welcome to Citco. Fund Administration is at the core of Citco's business, and our alternative asset and accounting services are highly regarded in the industry. We invest continuously in learning and technology to ensure our team delivers a seamless client experience. As a central point and coordinator on the Investor AMLCDD Asiapac team at Citco, your role will involve managing a team of Investor AMLCDD specialists. You will handle complex queries, oversee case management, staff training and development, escalations, as well as monitor deliverables" timing and quality. Collaborating with the wider Investor AMLCDD team, you will propose operational improvements and engage with senior management and clients to understand and anticipate client needs. To excel in this role, you should have at least 8 years of experience in a similar role within Private Equity and/or Hedge Funds, with exposure to outsourcing. Managing a team for a minimum of 5 years is required, along with excellent knowledge of AML Regulations, preferably with expertise in Cayman and Singapore. An active interest in financial markets, hedge funds, and private equity is essential, along with strong communication skills, customer relationship management, and proficiency in Excel, Word, PowerPoint, and Visio. At Citco, we prioritize your well-being and offer a range of benefits, training, education support, and flexible working arrangements to help you succeed in your career while maintaining a work-life balance. We value diversity and inclusivity, fostering an inclusive culture that encourages innovation and mutual respect. Citco welcomes and supports applications from individuals with disabilities, providing accommodations upon request throughout the selection process.,

Description We are looking for a detail-oriented and motivated KYC/AML Specialist to join our team in India. The ideal candidate will be responsible for conducting KYC checks, performing AML assessments, and ensuring compliance with regulatory requirements. This role is critical in identifying and mitigating risks associated with customer transactions. Responsibilities Conduct thorough Know Your Customer (KYC) checks to verify customer identities. Perform Anti-Money Laundering (AML) assessments to identify suspicious activities. Execute Enhanced Due Diligence (EDD) for high-risk clients and transactions. Maintain compliance with regulatory requirements and internal policies. Analyze and report on customer data to identify risks and trends. Collaborate with cross-functional teams to ensure effective KYC/AML processes. Prepare detailed documentation for audits and regulatory inspections. Skills and Qualifications Bachelor's degree in Finance, Business Administration, or a related field. Proficient understanding of KYC/AML regulations and compliance practices. Strong analytical skills with the ability to interpret complex data. Attention to detail and strong organizational abilities. Excellent communication skills, both written and verbal. Ability to work independently and collaboratively in a team environment. Familiarity with compliance software and tools used in KYC/AML processes.

The AML Analyst/Officer/Investigator is responsible for supporting the company's efforts in detecting, preventing, and reporting money laundering activities. The role involves monitoring transactions, investigating suspicious activities, ensuring compliance with relevant laws and regulations, and preparing reports for regulatory bodies and senior management. Key Responsibilities: Transaction Monitoring: Monitor daily transactions for signs of suspicious activity, including large or unusual transactions, patterns of behavior, and activities that do not align with customer profiles. Analyze transaction data and review alerts generated by AML monitoring systems. Investigations and Due Diligence: Investigate suspicious activities, performing in-depth research using internal databases and external sources to gather relevant information. Conduct Know Your Customer (KYC) checks and Enhanced Due Diligence (EDD) on high-risk clients to verify their identity and assess potential risks. Follow up on red flags and escalate cases when necessary. Regulatory Compliance: Ensure compliance with anti-money laundering laws and regulations (such as the Bank Secrecy Act, FATF guidelines, and local regulatory requirements). Prepare and file Suspicious Activity Reports (SARs) and Currency Transaction Reports (CTRs) to relevant authorities in a timely manner. Stay up-to-date with regulatory changes and ensure policies are updated accordingly. Reporting and Documentation: Prepare and submit regular reports on AML activities, suspicious transactions, and investigations to management. Maintain accurate and thorough documentation of all investigations and actions taken. Training and Awareness: Assist in the development and delivery of AML training programs for staff, ensuring awareness of policies and procedures. Promote an AML culture within the organization and provide guidance to other employees on identifying and reporting suspicious activity. Collaboration with Teams: Work closely with the compliance, legal, risk, and operations teams to ensure a coordinated approach to AML efforts. Collaborate with external law enforcement agencies or regulators when necessary. Risk Management: Help identify, assess, and mitigate AML risks across the organization. Participate in risk assessments and internal audits to strengthen the institutions AML program. Qualifications: Education: Bachelors degree in finance, accounting, business, or a related field. Experience: 1-3 years of experience in an AML, compliance, or financial crime-related role (for Analyst roles). 3-5+ years of experience (for Officer/Investigator roles). Familiarity with AML regulations and financial services industry practices. Knowledge of financial crime typologies and techniques used by criminals to launder money. Certifications: AML certification such as CAMS (Certified Anti-Money Laundering Specialist) or similar is preferred. Other relevant certifications may be beneficial (e.g., CFE Certified Fraud Examiner, ICA International Compliance Association).

A Team Leader in the banking domain, specifically in Anti-Money Laundering (AML) process, plays a crucial role in overseeing AML operations, managing teams, and ensuring compliance with regulations. Here's an overview of the roles and responsibilities: Roles and Responsibilities 1. Team Management: Supervise and manage a team of AML professionals, providing guidance, coaching, and feedback. 2. AML Process Oversight: Oversee AML processes, including customer due diligence, transaction monitoring, and suspicious activity reporting. 3. Compliance: Ensure compliance with AML regulations, laws, and internal policies. 4. Risk Management: Identify and mitigate potential AML risks, implementing controls to prevent money laundering and terrorist financing. 5. Training and Development: Provide training and development opportunities to team members, enhancing their AML knowledge and skills. 6. Investigations: Oversee investigations into suspicious activities, ensuring timely and effective resolution. Experience Needed 1. AML Experience: Typically 5-7 years of experience in AML, with a strong understanding of AML regulations, laws, and processes. 2. Regulatory Knowledge: Familiarity with AML regulations, such as the Bank Secrecy Act (BSA), and Financial Action Task Force (FATF) recommendations. 3. Risk Management: Experience with risk management principles and practices, identifying and mitigating AML risks. 4. Leadership Skills: Proven leadership skills, with experience in managing teams and motivating staff. 5. Analytical Skills: Strong analytical skills, with ability to identify and investigate suspicious activities. 6. Communication Skills: Excellent communication skills, with ability to interact with stakeholders, including regulators and law enforcement. Typical Background 1. AML or Compliance: Strong background in AML or compliance, with experience in financial institutions or regulatory agencies. 2. Certifications: Relevant certifications, such as the Certified Anti-Money Laundering Specialist (CAMS) or Certified Financial Crimes Specialist (CFCS) can be an added advantage.

KYC Analyst (Client Onboarding) Company: Kiya.ai Key Responsibilities: Conduct operational and data analysis activities pertaining to client onboarding, transitions, and conversions, working under guidance. Prepare for and execute the onboarding of new clients, ensuring accurate account setup and closure in adherence to internal compliance requirements. Review KYC/AML documentation meticulously and ensure all due diligence steps are completed prior to account opening. Utilize Account Opening Checklists to verify the accuracy and completeness of client documentation. Perform pre-transition/conversion testing and thorough quality reviews of client data; escalate any discrepancies as required. Monitor daily workflows to ensure all components of transitions/conversions progress within defined timelines. Coordinate effectively with internal teams (Compliance, Legal, Operations, Data Teams) to execute tasks and documentation within established deadlines. Maintain data integrity and reconcile incoming/outgoing data for accurate platform translation. Assist in the development of transition/conversion plans, resource assessment, and the identification of critical paths. Provide timely updates to internal teams on progress and promptly escalate any delays or blockers. Support project management efforts for smaller or less complex clients, ensuring seamless execution of transitions. Collaborate closely with Transition Consultants, Relationship Managers, and Account Managers to ensure a smooth client experience. Requirements: Education: Bachelor's degree required; advanced or graduate degree preferred. Skills: Strong communication and interpersonal skills. Excellent knowledge of MS Excel (including pivot tables, VLOOKUPs, etc.). Familiarity with KYC, AML regulations, and client data management best practices. Ability to manage tight deadlines and multitask effectively across multiple projects. Strong problem-solving and escalation handling abilities.

Position Purpose Performing AML/CTF risk monitoring. Review, analyze and dispose alerts. Responsibilities Direct Responsibilities Perform ongoing AML/CTF risk monitoring on clients and account transactions covered by CBK France AML Activity in Actimize. Review, analyze and dispose alerts in accordance with predefined rules and relevant procedures. Obtain and upload alert analysis results and relevant material for record keeping purposes. Prioritize and conclude the alerts as quickly as possible and within the indicative target timelines without compromising the quality and completeness of the analysis. Ensure escalation of the alerts to Country Compliance is proper, in a timely manner and supported by relevant information and due diligence search results. Support the Head of AML Hub to implement and execute procedures and other relevant policies and procedures of BNPP. Assist in AML projects and user testing assessments as and when required. Comply with AML procedure and other relevant policies and procedures of BNPP as well as relevant AML/CFT/Sanctions laws and regulations; and keep updated on latest trends of AML/CFT/Sanctions laws and regulations, and industry best practice. Collaborate and work in tandem with team members of AML Hub and relevant stakeholders. Be supportive and adoptive to changes of procedures and scope of works. Meet the QA requirements and the expected daily alert disposal volume. Notify the Head of AML Hub in a timely manner when backlog is foreseeable. Contributing Responsibilities OPC: Contribute to the Operations Permanent Control framework CUSTOMER SERVICE: Monitor turnaround times and operational efficiency. Resolve customer complaints and queries. CLIENT RELATIONSHIP MANAGEMENT: Support MO to address ultimate client needs and resolve customer complaints if any. INFORMATION MANAGEMENT: Preparation and submission of MIS and reports to management as required and disseminate information to the Team Technical & Behavioral Competencies At least 5/6 years relevant experience in banking /financial industry or handling AML transaction monitoring and investigation. A good understanding of corporate banking and trade finance transactions. Familiar with international AML regulations and sanctions. Good communication skills and eager to learn. Proactive and alert to AML risks. Analytical and with an investigative eye for accurate details and red-flag situations. Ability to work in a team as well as independently. Ability to write concisely and clearly; and to produce clear constructive advice under pressure and within short timeframes. Must evidence an attention to detail and have an investigative and questioning nature. Must have strong interpersonal skills, a flexible, collaborative and team-oriented approach to problem[1]solving and an ability to work in a fast-paced, rapidly changing environment, and preferably with some experience of dealing in Corresponding banking. Specific Qualifications (if required) Bachelor's degree or equivalent from an accredited institution (e.g. ICA or ACAMS). Post-graduate degree or law degree may be a plus. Asian language capability is desirable, but not essential Skills Referential Behavioural Skills : Ability to collaborate / Teamwork Attention to detail / rigor Communication skills - oral & written Ability to synthetize / simplify Transversal Skills: Analytical Ability Ability to understand, explain and support change Ability to develop and adapt a process Ability to develop others & improve their skills Education Level: Bachelor Degree or equivalent Experience Level At least 5-6 years Other/Specific Qualifications (if required) Advance MS Office Data Analysis