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Manager I - KYC/AML Services

Manager I - KYC/AML Services

UST

9 - 12 years

5 Lacs

chennai

Posted:9 hours ago| Platform:

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Skills Required

aml senior management process process quality assurance team management change regulatory root cause analysis excel case management kyc stakeholder management work allocation compliance leadership complex coaching risk reporting communication skills ms office

Work Mode

Work from Office

Job Type

Full Time

Job Description

Role Proficiency:

A manager should be able to manage all operations for a process / client depending upon the size of the engagement (typical span: 50-80 associates). meet SLAs while independently drive operational efficiency

Outcomes:

Works closely with the Manager/Group Manager to achieve quantitative and qualitative SLAs and KPIs for the team.
Focuses on planning and execution to ensure quality improvement turnaround time and overall process efficiency.
Identifies process gaps and collaborates with the client to formulate solutions for the same.
Regularly interacts with the Quality team to ensure real time action in cases of quality defects.
Leads corrective and preventive action plans for various transactions and owns them.
Ensures that leads are informed on all process and business updates; and the relevant information is cascaded to associates in every team to ensure transparent communication.
Set clear team goals and transparent objectives on what the team is working towards to ensure clarity.

Measures of Outcomes:

100% Adherence to quality standards process and SLA's
Number of issues resolved and tasks completed
Number of non-compliance issues with respect to SOP
Zero/No Client Escalations
Percent of completion of all mandatory training requirements
Percent of QC and QA scores
RCA and Corrective Action Plans
Daily/weekly performance reporting
Number of high-quality RCA and QA output
Guides and mentors the junior associates.
Swift turnaround time for response and resolution
Update SOPs and job aids on a weekly basis
Delegate tasks and set deadlines for the team

Outputs Expected:

Operations:

Ensure team handles the work received and adheres to SLAs

Quality:

Responsible for creating quality plans and implementing quality management function

Communication:

Responsible for reporting and communicating with client and internal team members.
Communicates with clients daily and provides status update
obtains feedback and acts immediately on any issues highlighted.
Provides status update to the respective stakeholders and within the team
Shares performance reports to the client at the end of every month on team output and productivity.

Process/efficiency Improvement:

Proactively identify opportunities to increase service levels and mitigate any issues in delivery within the function or across functions. Take accountability for overall productivity efforts within the function
including coordination of function specific tasks.

Training:

On time completion of all mandatory training requirements of organization and customer. Provide on floor training and one on one mentorship for new joiners. Complete certification of respective career paths.

Performance Management:

Update FAST Goals in NorthStar
trackreport and seek continuous feedback from peers and manager. Set goals for team members and mentees and provide feedback.

Escalation:

Escalate problems to appropriate individuals/support team based on established guidelines and procedures.

Monitoring:

Monitors progress of requests for support and ensures users and other interested parties are kept informed.

Process Adherence:

Thorough understanding of organization and customer defined process. Consult with mentor when in doubt. Adherence to defined processes. Adhere to organization' s policies and business conduct.

Manage knowledge:

Consume project related documents
share pointlibraries and client universities

Issue Resolution:

Identifies
analyses and solves the incidents/transactions.
Perform root cause analysis to find corrective and preventive actions after every major incident and escalations. Work closely with team members to solve customer problems.
Understand agent's problems and weaknesses and address

Release:

Adhere to release management process

Team management:

Set expectations; manage performance of team and individuals.
Provide regular feedback.
Coach team towards operational excellence.
Recognize high performing talents in the team and reward them.

Mentoring:

Guide new team members in understanding customer infrastructure and processes.
Mentoring and providing guidance to the peers and junior associates.
Assist new team members to understand the customer environment.

Management:

Able to make decisions on any matters relating to improving revenue generation and customer satisfaction with regards to call handling and call center processes.

Skill Examples:

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.
Attention to detail to ensure metrics quality and production output and reporting is accurate
Team Work: Respect others and work well within the team.
Communication: Speak clearly and write in a clear and concise manner. Uses appropriate style and language for communication (Data)
Communication: Speaks in an accent neutral manner or with the accent required for the process with good vocabulary and grammar skills. Writes clearly (Voice)
Analysis and Decision Making: Makes judicious and fair decisions after examining all relevant information and making clear assumptions
Team Coaching and Leadership: Lead the team by example. Guide and support the team towards the achievement of goals.
Coaches and guides lead's in managing outcomes and expectations well.
Manage and facilitate aspirations and skill development for team.
Proactive in avoiding or resolving conflicts.
Planning skills: Translate business objectives into functional activities. Set goals and processes and organize resources to ensure that the desired results are met.
Excellent communication and leadership skills.
Organizational and time management skills.
Assistant Manager - Operations Training Quality MIS Process Excellence
Leadership role with span of up to 60 FTE

Knowledge Examples:

Familiar with Windows Operating Systems MS Office
1. Excellent English comprehension - reading writing and speaking
2. Domain knowledge based on process (healthcare banking investment F&A retail customer support etc)
3. Expertise with process knowledge and guidelines
4. Expertise in work allocation and intake functions
5. Expertise in MS Excel
6. Expertise with quality control processes including pare to analysis and root cause analysis
7. Typing speed with 15WPM and 80% accuracy Voice
8. Typing speed with 30WPM and 95% accuracy Data
9. Experience level - 9 to 12 years
Additional Comments:

Shift : UK Role : Manager To lead the AML due diligence function, shaping policy with the designated function, ensuring high quality compliance service, managing stakeholder relationships, and acting as ultimate escalation point for risk issues and material AML matters. Key Responsibilities: 1. Leadership and Team Management Strategy & Resource Planning: Set strategic direction, objectives, and priorities for the AML due diligence function. Allocate resources and manage succession planning. People Development: Oversee recruitment, onboarding, performance reviews, and continuous development for Team Leaders, Senior Analysts, and Analysts. Culture of Compliance: Foster a culture of operational excellence, client focus, and regulatory integrity. 2. Policy Setting and Oversight Procedure Development: Directly responsible for the development, updating, and communication of AML/KYC policies, desktop procedures and handbooks. Oversight and Quality Management: Implement and monitor robust quality controls: Regular file sampling and governance checks Analysis of QA results, identification of root causes and action plans Definition and improvement of escalation protocols 3. Regulatory and Client Engagement Stakeholder Relationship Management: Serve as primary contact for Schroders designated function in the context of internal/external audits on AML due diligence. Procedure Monitoring: Stay updated on changing AML/CTF due diligence procedure; transpose requirements and ensure timely, comprehensive implementation. Client Change Management: Communicate change impacts, coordinate due diligence procedure/strategy updates, and lead annual/periodic meetings as required. 4. Complex Risk and Escalation Handling Ultimate Escalation Point: Approve/decide on the highest risk, most sensitive, or ambiguous client files. Oversee and document the management of breaches, suspicious activities, and regulatory disclosures in coordination with the designated function. Incident & Breach Management: Investigate and resolve operational incidents, policy breaches affecting AML due diligence. 5. Management Information and Reporting Reporting: Deliver regular, detailed reports (MI, QA, SLA, risk incident logs) to Schroders designated functions. Regulatory/Audit Preparation: Lead readiness for regulatory onsite or offsite reviews and post-visit remediations. 6. Continuous Process Improvement Efficiency Projects: Identify and implement workflow improvements, systems upgrades, or strategic outsourcing changes to maximise quality and minimise risk. Training: Ensure delivery and effectiveness of ongoing technical/update training for the function; mentor direct reports. 7. Know your distribution (KYD) - where applicable Policy Setting and Governance: Establish and maintain KYD detailed procedures in accordance with Schroders' standards, regulatory requirements, and best practices for distribution and platform relationships. Final Approval and Risk Acceptance: Review and provide the final sign-off for new and ongoing distributor and platform relationships, especially for high-risk or complex arrangements. Where reliance will be placed on an intermediary, approve the reliance decision following review of the FC control framework assessment and ODD findings. Stakeholder Engagement: Serve as the point of contact with internal stakeholders and designated Schroders function, regarding distributor and platform due diligence, risk concerns, agreement content, or ambiguous intermediary roles. Escalation and Resolution: Make or document final decisions following escalation of unclear roles (e.g., Placement Agent distinction) or any issues arising from insufficient or incomplete questionnaires/responses. Contractual Assurance: Ensure all agreements (distribution, platform, placing agent) contain the necessary documented FC responsibilities and commitments, and that the comfort letter--if used--meets all control assurance criteria. Oversight of Ongoing Monitoring: Ensure that the regular review of distribution and platform partners occurs in line with the risk-based ODD cycle, with any changes in intermediary nature, investor profile, or risk level promptly assessed and documented. Training and Guidance: Provide or delegate specific ongoing training for the team regarding KYD best practice, regulatory updates, and lessons learned from KYD files or regulatory findings. Skills and Behaviours Required: 7+ years' experience in AML/KYC, including at least 3 years in senior management of due diligence/transfer agency or compliance teams Professional AML/compliance certification (ACAMS or equivalent) preferred Deep understanding of alternative funds, private wealth, and complex international structures Strong strategic, leadership, and stakeholder management skills Demonstrated experience in regulatory change and complex risk case management Excellent communication, coaching, and reporting capabilities

Required Skills

KYC/AML,Due Diligence,Transfer agency

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