Senior Process Executive-Documents Review- Fraud-International Banking

Job Details:

Job Level: 2A

Designation: Senior Process Executive

Experience: 1 to 2 years

Location: Bangalore (Work from Office)

Shifts: Flexible to work with Night Shifts

Notice Period: Immediate to 30 days

Document Good Order Review:

• Document Review:

  Ensure that documents (contracts, agreements, reports, etc.) are accurate, complete, and comply with relevant CLIENT standards and legal requirements.

• Quality Control:

  Assess documents for completeness, consistency, clarity, and correctness, identifying discrepancies, errors, and missing information. Compliance Assurance: Verify that documents adhere to procedural and regulatory requirements and industry standards. Escalate any non-compliance issues to CLIENT.

Account opening /setup:

• Account Setup:

  Oversee the end-to-end process of account creation, ensuring all necessary documents and information are collected, verified, and input correctly into the system.

• Documentation Review:

  Ensure that all account-related documents (such as forms, identification, and agreements) are complete, accurate, and in compliance with internal and regulatory requirements.

• System Management:

  Input and maintain customer data accurately in the account management systems, ensuring that all information is updated and secure.

Account Maintenance:

• Account Updates:

  Perform regular updates and changes to customer accounts, including personal information, contact details, account preferences, and service selections.

• Error Resolution:

  Identify and resolve discrepancies or issues in account data, ensuring that all information is entered accurately in to the account management systems and aligned with internal records.

• Compliance Monitoring:

  Ensure that all account maintenance activities comply with regulatory requirements such as KYC (Know Your Customer), AML (Anti-Money Laundering), and other relevant standards.

• Issue Escalation:

  Escalate any requests not in good order or requiring clarification and/or further documentation to Client for resolution

Purchase Transaction Processing:

• Transaction Processing:

  Accurately process purchase transactions including purchase requests in the Client recordkeeping system.

• Verification & Validation:

  Ensure all purchase transactions are validated for correctness, including checking for discrepancies in trade date, dollar amount, pricing, and share quantities.

• Documentation Review:

  Review and maintain supporting documentation for purchase transactions, ensuring all records are complete, accurate and compliant with Client policies and audit requirements.

• Issue Escalation:

  Escalate any requests not in good order or requiring clarification and/or further documentation to Client for resolution.

Redemption Transaction Processing:

• Redemption Processing:

  Accurately process redemption requests for financial products (e.g., mutual funds, closed-end funds, or other investment vehicles), ensuring timely and correct execution according to Client policies.

• Verification and Validation:

  Review redemption requests for completeness, ensuring all required documentation, forms, and information are provided and compliant with Client internal policies and regulatory requirements.

• Account Reconciliation:

  Verify redemption transactions by cross-checking with customer accounts, transaction histories, and redemption terms to ensure accurate processing.

• Issue Escalation:

  Escalate any requests not in good order or requiring clarification and/or further documentation to Client for resolution.

• Documentation Management:

  Maintain complete and accurate records of redemption transactions, ensuring proper documentation is kept for audit, compliance, and reporting purposes.

anguluri.pravallika@infosys.com