Global Regulatory Compliance Specialist
1 week ago
The Client Outreach team at Disability Solutions plays a crucial role in meeting Know Your Client (KYC) periodic refresh and remediation requirements. We work closely with Global Corporate and Investment Bankers and Global Markets Sales to support the Bank's global regulatory and policy requirements related to Client Due Diligence (CDD) documentation collection, with support from Operations and Global Financial Crimes Risk teams.
We identify and develop client connections, engage client representatives to obtain KYC documentation, and act as a coordination point for resolving issues/challenges with respect to client and country-specific documentation requirements in a timely manner.
In addition to ongoing document engagement, individuals within the team stay up-to-date on global regulatory changes that could impact processes, identifying opportunities to enhance the client experience.
The Role
The KYC Client Outreach Support teams oversee delivery of Front Line Unit (FLU) process delivery, including document indexing, remediation program oversight, policy advocacy, capacity/population requirements, restriction, and closure processes, program governance, and issue remediation, culture, and training/readiness.
Key Responsibilities
- Support the delivery of formalized remediation programs from a FLU perspective, adhering to Bank requirements
- Administer the collection, consolidation, and feedback of policy observations made by clients as part of ongoing improvement of Bank processes and industry practices
- Support the FLU portion of the process to ensure restrictions and closures adhere to requirements and consider appropriate risks
- Monitor and escalate any issue remediation concerns or challenges
- Assist in the administration of the FLU governance framework as it relates to KYC requirements
- Support drafting and coordinating documenting processes and formal guidelines as they relate to Outreach and associated FLU processes
- Support ad-hoc reporting as it relates to Outreach performance, delivery, and output
- Partner with colleagues in Banking, Sales, FLU COOs, FLU Change, FLU Business Controls, Operations, HR, and other groups as needed
- Support design and delivery of cultural and people Initiatives and org health where needed
About This Opportunity
This role is based in the United States, working 40 hours per week on the first shift. The estimated annual salary for this position is $80,000-$110,000 depending on experience.
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