Enhanced Due Diligence - Private Banking and Wealth. Corporates and SME.

• Knowledge of Regulatory Compliance and Sanction Policy of the company.• Subject matter expert for Due Diligence, AML, CTF and FATCA queries.• Review files and submit the procedures for approval to ensure compliance within program guidelines• Process and maintain all necessary program compliance documentation.• Conduct file audits to ensure compliance with program requirements and correct any findings.• Work on Remediation of profiles as well as Train existing and new to bank staff of Remediation requirements.• Ensure both Global Standards (HSBC internal term) and local regulation are followed with regards to Compliance.• Performed trigger review on Canadian clients to save the reputational risk of the bank as customers may be more prone to money laundering, tax evasion, terrorist financing and other financial crimes.• Initiate the High Risk Review (HRR)/Escalation for a customer/entity and send it to the Financial Crime Compliance team in a case of red flags or the type of risk the customer (Commercial or Retail) is posing to the bank.• Screen the client and other related parties to find any negative or adverse news/fact (Lexis Nexis and World-Check) related to them.• Demonstrate ownership and logical approach to activities undertaken, working collaboratively with the trainers and team managers to ensure training conducted effectively as per the schedule• Ensure that remediation is completed on complex corporate and retail clients. • Experienced in man power planning, recruitment, developing performance management system, developing employee welfare programs, identifying training needs and conducting trainings, employee grievance handling, developing and implementing disciplinary plans and conducting exit interview.Implemented the performance appraisal for the existing and new employees and co-ordinated it with other line managers.• Identifying the training needs, developing training programs to ensure constant learning and development of employees.

• Knowledge of ID&VA, KYC, Due Diligence, Compliance and Sanction Policy of all the countries to ensure that the risk of Money Laundering and terrorist financing is mitigated.• Understanding the risk associated with all the clients and taking a risk based approach to mitigate the money laundering risks.• Have a passion for customer service considering it is a process catering to premier customers.• To acquire detailed understanding of the process design and to be able to exceed SLA standards• Maintain highest standards of audit and compliance requirements including Risk Rating, ID&V, KYC, Sanctions Screening, SOW/SOF, Profiling.• Establish and maintain effective relationship with customers, business partners and identify areas of improvements in Due Diligence, Account Opening, KYC.• Meet targets on productivity and accuracy within stipulated time frame. Instructions/requests are correctly interpreted and fully undertaken.• Acquire knowledge on procedures related to relevant processes.• Ensure all data requirements is completed and updated in a timely manner

o Responsibilities include customer service, providing relevant resolutions and quality adherence.o Ensure accurate and appropriate Loan Modifications.o Ensure Timely collection of the Monthly Loan Payments.

o Listen, understand and deliver a high quality customer driven service, which provides customers with a positive view of HSBC and meets their expectation in terms of accuracy and Quality.o Cross Sell HSBC Products.o Acquire high level of understanding of relevant process steps and associated business related areas.o Sharing best practices, supporting team members, achieving personal objectives through teamwork, and aligning personal goals with the organisation.