Description Within the Private Bank (PB), the Incident and Client Advisory Group (ICA) is a specialized advisory unit that is the central point of coordination and governance around escalation for client activities and relationships that pose possible reputational or financial crimes compliance risk. Upholding the integrity of the PB, we provide high quality advice and assistance enabling the PB to evaluate clients efficiently and effectively, resulting in the best and most respected set of clients.Job DescriptionTeam of case managers who are looking at AML concernsConcerns include:
Reputational risk concerns
Non-core client concerns
Anything outside of the parameters of usual private banking accounts
Day to day:
Working very closely with the first line of defense to prepare submission material to bring to committee of forums
Who will decide to retain or onboard a perspective client
Looking at submission material
Understanding risk, Identifying risk
Trying to bring them up so speed on regular work flow that they currently have
Requirements
AML and KYC experience required.
Private Bank or Ultra-High net worth clientele, not retail
ACAMs certification is great to have
Don’t just identify risk, but know and understand how to mitigate it
Not tick box work, they see quite a bit of people with AML experience who have great mindset of transaction monitoring, but this isn't that type of work
Needs to be able to identify a cause of concerns around negative media
Won't make final judgement call, but will be putting forward a recommendation
So they need to be able to highlight whether this is a person who they want to keep as a client
Not directly customer facing
Will work with Private Bankers, so thick skin is a must
Need to be able to explain to a Private Banker why they should walk away from a commission check
Ideal Candidate:
Manager wants to see AML or KYC in a Private Bank/Ultra High-Net worth setting, not just retail banking
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