Regulatory Quality Control Specialist
5 days ago
Daily Responsibilities:Perform timely independent quality and oversight reviews for Client Regulatory and KYC Operations.Conduct control reviews for KYC, AML, and regulatory processes.Provide written and verbal feedback to regional and global leads.Evaluate QA results to identify issues, patterns, trends, and opportunities for enhancement of KYC and regulatory onboarding & refresh programs.Publish monthly/quarterly KRI metrics through a QA Scorecard, as well as detailed issue memos.Incorporate firm procedures and industry best practices into quality reviews and control reviews.Maintain proficiency in using the firm's automated software systems.Assist Head of Policy & Quality Control in identifying concerns or issues regarding AML or regulatory issues.Assist in preparing related documentation for upcoming examinations and audits, as requested.Provide support to other teams within C&DMG when necessary.Conduct ongoing review of desktop procedures to ensure alignment with regional/global control standards.Ensure that management controls designed to minimize operational errors are in place and effective.Develop strategies to alleviate operational issues and promote client satisfaction or resolve regulatory issues.Track and report status updates to key stakeholders including CMG Management, Compliance, and Front Office.Act as a subject matter expert on regulatory and enterprise policies and procedures related to client and data management.Participate in regulatory projects within the Capital Markets Client & Data Management Group. Essential Software Knowledge:Experience with Fenergo for managing KYC and regulatory processes. Must-have Skills/Experience and Qualifications:Knowledge of regional laws and regulations related to Anti Money Laundering (AML), Terrorist Financing (TF), Economic Sanctions (ES), and Customer Categorization.Previous experience in policy review and business advisory.3-5 years of relevant experience.Experience working under deadlines for time-sensitive projects.Prior experience in financial services and documentation management.High school diploma or equivalent. Preferred Qualifications:Formal qualification at the Graduate or Post-Graduate Level.Knowledge of Capital Markets Investment Banking products and operations. Skills & Competencies:Strong work ethic and attention to detail.Proficient time management and organizational skills.High-level customer service and interpersonal skills.Ability to influence and direct internal and external colleagues.Good presentation, problem-solving, and analytical skills. Technical Knowledge:Knowledge of AML, TF, and ES regulatory obligations and operational implications. Nice-to-Have Skills/Experience:Experience with Fenergo and CAMS certification.
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