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Lead I - AML Services

Lead I - AML Services

UST

7 - 10 years

5 Lacs

chennai

Posted:11 hours ago| Platform:

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Skills Required

aml process process quality assurance root cause analysis performance measurement excel performance reporting kyc continuous improvement stakeholder management written communication infrastructure leadership windows operating system communication skills ms office

Work Mode

Work from Office

Job Type

Full Time

Job Description

Role Proficiency:

A Voice Lead Able to take customer support calls effectively and efficiently resolve the issue handle escalated calls perform call quality monitoring and reporting and coach team towards meeting SLAs.rnA Data Lead Able to process complex transactions resolve queries from team and clarify complex scenarios while ensuring that quality of output and accuracy of information is maintained in alignment with SLAs.

Outcomes:

With the right coaching and supervision a lead will be able to do the following:

Service Level Agreement (SLAs) specified by the Client in terms of quality productivity and schedule should be managed to ensure 100% adherence for self as well as team.
Voice: Monitor (live and remote) cases and give effective feedback to close transactions.
Data: Perform QC and QA to ensure process and output quality giving feedback to associates to ensure smooth functioning
Manage and maintain process updates and clarification trackers for effective reporting and tracking of transactions.
Address any problems with the supervisor/QA to ensure maximum productivity and efficiency.
Closely monitor day to day operations of self and team to ensure utilization and minimize errors.
Review automation ideas from the team to increase and improve operational efficiency; use solutioning mindset to innovate new ideas for the same.

Measures of Outcomes:
1. 100% Adherence to quality standards process and SLA's
2. Number of issues fixed/tasks completed
3. Number of non-compliance issues with respect to SOP
4. Zero/No Client Escalations
5. % of QC and QA scores
6. RCA and Corrective Action Plans
7. Daily/weekly performance reporting
8. Number of high-quality RCA and QA output
9. Mentors A band associates.
Outputs Expected:
Production:
1. Take calls (voice) or process complex transactions (data)
Quality:
1. Perform quality control of transactions processed by associates
SME role:
1. Clarify questions on processes
  guidelinesetc to associates as required
Reporting:
1. Create reports on specific SLAs/performance measures/KPIs.
2. Track records daily
  weekly and monthly to ensure efficient and error free reporting to clients.
Management:
1. Set clear team goals and delegating tasks
  setting deadlines for internal teams.
2. By means of RCA
  huddlestraining needs analysis and corrective action plans; ensure improvement of quality scores.
3. Recognize high performance and reward accomplishments.
4. Motivate team members on a continuous basis to maintain the morale and effectiveness of the team.
5. Take steps to improve performance based on coaching
Training:
1. Discover training needs and provide coaching to the teams.
2. Attends one on one need-based domain/project/technical trainings as needed.
3. On time completion of all mandatory training requirements of organization and customer.
4. Provide on floor training and one on one mentorship for new joiners.
5. Provide coaching
  training and guidance to new team members to engage and build productivity of team.
Issue Resolution:
1. Listen to team members' feedback and resolve any issues or conflicts.
2. Work closely with team members to solve customer problems.
3. Understand agent's problems and weaknesses and address
4. Identifies
  analyses and solves the incidents/transactions.
5. Perform resolution exercises and quality calibration with clients and ensure 100% participation.
Adherence:
1. Aware of any clients
  processproduct and updates and ensure 100% compliance towards the same.
2. Adhere to release management process.
3. Thorough understanding of organization and customer defined process. Consult with mentor when in doubt.
4. Adherence to defined processes. Adhere to organization' s policies and business conduct.
Escalation:
1. Escalate problems to appropriate individuals and support team based on established guidelines and procedures.
Monitoring:
1. Monitors progress of requests for support and ensures users and other interested parties are kept informed.
Manage knowledge:
1. Consume project related documents
  share pointlibraries and client universities.
Mentor:
1. Mentoring and providing guidance to peers and junior associates.
2. Assist new team members in understanding the customer environment
Communication:
1. Provide status update to the respective stakeholders and within the team
Collaboration:
1. Collaborate with different towers of delivery for quick resolution (within SLA)
  document learnings for self-reference.
2. Actively participate in team/organization-wide initiatives.
3. Collaborate with other team members for timely resolution of errors.
Skill Examples:
1. Customer Focus: Focus on providing a prompt and efficient service to customers goes out of the way to ensure that individual customer needs are met.
2. Attention to detail to ensure team follows SOPs and does not make unintentional errors
3. Team Work: Respect others and work well within the team.
4. Communication: Speak clearly and write in a clear and concise manner. Uses appropriate style and language for communication (Data)
5. Communication: Speaks in an accent neutral manner or with the accent required for the process with good vocabulary and grammar skills. Writes clearly (Voice)
6. Typing Speed with 15WPM and 80% accuracy
7. Analysis and Decision Making: Makes systematic and rational judgments based on information and relevant assumptions.
8. Makes rule based and discretionary decisions
9. Team coaching on errors: Provide feedback on QA errors perform root cause analysis and create corrective action plans.
10. Excellent communication and leadership skills.
11. Organizational and time management skills.
12. Ability to follow SOP documents and escalate the s within the defined SLA.
13. Willingness and ability to learn new skills domain knowledge etc.
14. Team Leader/Sr. Domain Expert/Training Lead/QA Lead/MIS Lead/Process Excellence Lead
15. Supervisors Domain Experts Six Sigma - Green Belt
Knowledge Examples:
Familiar with Windows Operating Systems MS Office
1. English comprehension - Reading writing and speaking
2. Domain knowledge based on process (healthcare banking investment F&A retail customer support etc)
3. Expertise in process knowledge and guidelines
4. Expertise with work allocation and intake functions
5. Expertise in MS Excel
6. Expertise in quality control processes including pare to analysis and root cause analysis
7. Excellent understanding of customer infrastructure ability to co-relate failures
8. Experience level - 5 to 9 years
Additional Comments:

Shift : UK Role : Team Leader To oversee day-to-day delivery of the AML due diligence process, coordinate the team's workload, act as the primary escalation and quality reviewer, and ensure continuous workforce competency. Key Responsibilities: 1. Workflow Coordination and Oversight Case Assignment: Distribute onboarding, periodic, and event-driven review tasks amongst Analysts and Senior Analysts, balancing complexity and urgency. Workload Monitoring: Track team progress against SLAs and KPIs, ensuring tasks are performed promptly and escalate bottlenecks to the Manager. 2. Quality Assurance & Escalation Management File Review: Final quality check on completed files, confirming proper application of risk factors, EDD, and full compliance with internal requirements. Issue Resolution: Resolve escalated s from Senior Analysts, including genuine matches on sanctions/PEP/adverse news lists or high-risk profile investigations. Red Flag Management: Oversee analysis and documentation of unusual transaction patterns, negative media, and emerging regulatory risks. 3. Communication Client Interface: Serve as contact for Schroders and other stakeholders in daily operations. Communicate progress, escalation outcomes, and client queries. Guidance Delivery: Interpret complex AML rules and translate them into clear process steps and guidelines for the team. 4. Training and Process Improvement Upskilling: Identify training needs, deliver refresher training on regulatory updates or process changes, and maintain skills matrix. Process Review: Review and update procedural documentation, checklists, and forms for clarity and completeness. Audit Readiness: Prepare for internal/external audits or regulatory inquiries, lead file sample reviews, and proactively address findings. 5. Reporting and Governance MI Data: Collate and verify quality metrics, escalate material issues to the Manager, participate in governance meetings. Continuous Improvement: Recommend enhancements to improve case quality, efficiency, or risk identification. 6. Know your distribution (KYD) - where applicable Case Assignment and Oversight: Allocate KYD due diligence tasks, ensuring complex reviews or high-risk distributors go to suitably skilled Senior Analysts or Specialist staff. Agreement and Document Review: Validate that distribution agreements and/or comfort letters contain all necessary Financial Crime (FC) responsibilities and provisions. Escalate any contractual ambiguities or gaps to the designated Schroders function. Risk Assessment Oversight: Oversee and approve the risk assessment of the distributor relationship, including reviewing all completed DDQs, Wolfsberg Questionnaires, and analysis on the intermediary's AML/FC framework. Escalation and Consultation: Where the distributor/placement agent's role is ambiguous or where the reliance status is unclear, consult with the designated Schroders function. Document all communications and escalation outcomes. Ongoing Monitoring: Ensure periodic reviews of distributor/platform relationships follow risk-based ODD cycle timeframes, with updates to the intermediary's risk profile and supporting documentation as part of ongoing due diligence. Quality Control: Review Senior Analysts' checks and analysts' documentation for consistency, and lead remediation where deficiencies are found. Skills and Behaviours Required: 4-6 years' AML/KYC experience with at least 1 year in a leadership, supervisory or checker function Skilled in process management, QA, and file escalation pathways Excellent oral and written communication and stakeholder management Strong risk awareness and ability to apply AML requirements operationally Experience managing upskilling/training initiatives

Required Skills

KYC/AML,Due Diligence,Transfer agency

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Lead I - AML Services