Work from Office
Full Time
Role Proficiency:
A Voice Associate Able to independently take customer support calls effectively and efficiently ;follow the SOPs to complete the process and endeavour to resolve the issue handle some escalated issues or escalate to a more knowledgeable person to resolve in alignment with SLAs and assists Lead I - BPM.rnA Data Associate should independently be able to effectively and efficiently process the transactions assigned in timely manner clarify complex transactions to others and ensure that quality of output and accuracy of information is maintained in alignment with SLAs and assists Lead I - BPM.
Outcomes:
Measures of Outcomes:
Outputs Expected:
Processing Data:
Handling calls Voice:
Production:
Issue Resolution:
Productivity:
Adherence:
Reporting:
Stakeholder Management:
Training :
Escalation:
Monitoring:
Manage knowledge:
Mentoring:
Communication:
Collaboration:
Skill Examples:
Knowledge Examples:
Shift : UK Role : Senior To act as subject matter expert on all core AML/KYC due diligence activities, perform robust quality assurance and handle advanced cases, directly supporting the Analysts and providing hands-on guidance. Key Responsibilities: 1. Advanced Due Diligence Execution Complex Entity Review: Review and perform due diligence on non-standard, complex structures (e.g., layered ownership, trusts, foundations, offshore vehicles), ensuring full transparency of control and beneficial ownership. Enhanced Due Diligence (EDD): Lead EDD work on high-risk clients (e.g., PEPs, complex private equity structures, high-risk geographies): Analyse and corroborate sources of wealth and funds through documentary evidence and public record checks Conduct in-depth open-source investigations on high-risk profiles or negative media hits Liaise with Schroders agreed escalation point for enhanced approval and/or further escalation 2. Screening and Risk Mitigation Name Screening Oversight: Validate name screening s escalated by Analysts, determine false positives and true matches, and make decisions on further escalation. Sanctions/Adverse Media: Investigate and document all genuine matches against sanctions, PEP, and adverse media lists, with clear escalation narratives and recommendations. 3. Risk Assessment & Rating Risk Factor Analysis: Review risk ratings assigned by Analysts, ensure scoring methodologies are correctly applied, and correct or re-assess where necessary. KYC Reviews: Lead periodic reviews of investor files. Re-assess documentation based on trigger events--ownership changes, negative news, jurisdiction upgrade/downgrade, etc. 4. Quality Control and Training File Review: Execute rigorous file quality checks. Maintain QA checklists, document deficiencies, and confirm corrective action by Analysts. Coaching: Provide hands-on coaching and process clarification to Analysts and act as the first point of contact for technical queries. Knowledge Sharing: Develop guidance notes, training materials, and best practice documentation for use within the team. 5. Analysis and Implementation Procedure Updates: Monitor changes in AML/CFT internal procedures as required. Provide operational input to Team Leaders regarding impacts on workflows. Project Participation: Support remediation, data clean-up, or regulatory project work as assigned. 6. Casework & Escalation Complex Query Resolution: Act as initial escalation point for complex or unusual cases--either resolve or clearly summarise and escalate to Team Leader/Manager. Investor & Counterparty Liaison: Handle detailed, technical queries from investors, fund managers, or distributors related to AML/KYC requirements. 7. Know your distribution (KYD) - where applicable In-Depth Questionnaire Analysis: Review DDQ and Wolfsberg Questionnaire responses in detail, cross-checking answers for plausibility and completeness. Follow up directly with intermediaries if clarifications are needed. AML Control Framework Assessment: Conduct a review and summarise the distributor's or platform's Financial Crime (FC) control policies and procedures, including initial and ongoing client due diligence processes. Prepare a comparison of intermediaries' stated practices against Schroders' risk appetite and regulatory expectations. Reliance Assessment Support: Assess whether reliance on the intermediary's AML controls may be considered, and document the findings. Where Placement Agents are involved, assist in determining if they fulfil a different role and escalate uncertainties to the designated Schroders function. Investor Profile Review: Analyse and document who the underlying investors are (retail, HNWI, professional clients, etc.), as disclosed by the distributor or obtained via DDQ. Quality Assurance: Review Analysts' KYD files for thoroughness and escalate deficiencies or high-risk findings as required. Skills and Behaviours Required: 2-5 years' AML/KYC experience with focus on alternative investments and complex structures Demonstrable expertise in risk-based approaches, screening investigations, and EDD Adept communicator, able to articulate complex regulatory topics in practical terms Strong attention to detail, time management, and coaching ability High proficiency in KYC/AML databases and screening tools Proficiency with office productivity tools; prior exposure to KYC/AML systems advantageous. Strong interpersonal skills and team focus
KYC/AML,Due Diligence,Transfer agency
UST
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