Client Onboarding - First Line Monitoring Officer
- Conducting ‘First Line Monitoring’ reviews of Asia Region’s Customer Due Diligence (CDD) files (which includes Hong Kong, Singapore, India and China), based on the global FLM framework, with the aim of ensuring that the CDD files meet required global CDD standards (and where applicable local regulatory requirements).
- Ensure the requisite number of Regional CDD files have been reviewed on a monthly basis.
- Conducting ‘First Line Monitoring’ – of Transaction alerts (TM / AML alerts) generated from Norkom Monitoring to ensure that the alerts /suspicious transactions that have been flagged under the agreed set of rules and thresholds have been adequately investigated, analysed and closed; and where required have been escalated to Compliance.
- Compile monthly Regional MI for FLM and upload the same to the global data portal.
- General Administrative duties.
- Mentoring of new joiners.