- Anti Money Laundering (AML)
- Database Administration
- Quality Assurance
Quality Assurance AnalystGeneral Position Description:
The Client Services Associate serves as key front office support for a rapidly growing Lending and Trade Services portfolio. The candidate is expected to assist with day-to-day quality review of the existing portfolio and new business which requires strong Compliance, Loans Admin and Trade services experience. The successful candidate is also expected to be heavily involved in new projects (including migration, portfolio moves/exits, statistics, database maintenance, and financials).
- Conduct regular reviews of each client’s file for the purpose of accuracy and consistency, across the portfolio
- Provide quality assurance expertise to internal work groups, focusing on enhancing current procedures and creating efficiencies.
- Provide subject matter expertise, drawing on internal and external networks, professional qualifications and experience to advise on CDD procedures, escalation of higher risk relationships and testing compliance with procedures in region
- Review all Enhanced Due Diligence (EDD) client files
- Integrate data across processes managed in controls relevant to the CDD review
- Conduct ongoing testing of compliance files with the CDD procedures
- Work with regional and global resources to deliver advisory and testing objectives
- Work with business to escalate issues appropriately at a portfolio level.
Successful candidate will be able to demonstrate:
- Minimum of 5 years of relevant experience, which could include Financial Crime Compliance and Customer Due Diligence; Anti-Money Laundering (AML) Advisory; Compliance and Legal; Customer Due Diligence services; Banking products and operations
- Knowledge of the global AML regulatory environment across multiple locations in Asia
- Strong attention to detail and accuracy, good organizational and time management skills
- Ability to multi-task and work in a deadline driven environment
Team members support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.