Conducting sample QC for the work performed by team members during the week and providing the feedback, if there are any gaps in process or knowledge. Handling the Adhoc projects in timely manner by providing training to team members as per requirement and completing them with good quality. Conducting regular one on ones, team meetings and performance reviews. And assisting the team member in their career path by providing the regular feedback for their work, behavior and learning curve by giving inputs to overcome them. Preparing the Standard Operating Procedures (SOP) for the new process and amending the existing, if there are any amendments or inclusion in the process. Generating reports to Senior Management and Onshore on Weekly and Monthly.

As a SME in process, performing QC for triage cases, screening, handling the queries, escalations and training new numbers. Performing the High-Risk Review for WFA Brokerage accounts based on various parameters like nature of business, client country of origin, transaction activity, internal & public searches and ensuring all required EDD documents are obtained as per policy and regulatory requirements. List Screening the customer’s name using different tools like Dow Jones and ICIJ to identity any adverse news or articles associate with the client or not. If any, discarded those alerts either true or false based on the information. Thoroughly monitoring the transactions in the customer’s accounts to identify any unusual and raising the Unusual Activity Report (UAR), if anything identified in the account. Finally providing the judgement from compliance point of view, whether we can continue with the relationship of client of not. After ensuring all risk factors (PEP association, sanctions, negative news, transaction review and incomplete information etc.) by analyzing properly while preparing High Risk Customer Summary. Notifying any concerns in the process to senior management and take appropriate steps to mitigate the risks involve. And partnering and working collaboratively with the Line of Business

Performing the High-Risk Review for WFA Brokerage accounts based on various parameters like nature of business, client country of origin, transaction activity, internal & public searches and ensuring all required EDD documents are obtained as per policy and regulatory requirements. Performing List screening, transaction monitoring and other risk factors.