Business Risk Unit Manager

Country: Switzerland

Financial Crime Compliance Manager I

Position Summary:

The BRU Manager will act as point of contact and liaison for other analysts in the Middle Office, Compliance, Regional Directors and Team Leaders of the Commercial Dpt. The BRU Manager is responsible for reviewing account opening documentation, conducting CIP, sanctions screenings due diligence on new and existing clients.

The role also assists in developing awareness of Risk Tolerance Statement and the development of special projects related to clients’ data and documentation.

What you will be doing:

Documentation Quality Review :

• Review Documentation package for completeness and accuracy

• Reviews that the customer and parties’ documentation received is complete, that the information within that documentation is correct and complete, and that documentation deck that the KYC/AML Unit will receive complies with Bank’s standards, protocols, procedures and internal policies.

• Analyze and require to the Relationship Manager, depending upon the type of customer, additional information, and documentation in order to complete the KYC form as well as sections related to the Customer and related parties in the account. 

• Handle the documentation exceptions by driving the process to control the number of pending documents and criticality of such exceptions.

• Review and input client and parties’ data from the documentation into the Appian system. Make sure that information included in forms is complete to input accurate data in the Globus/T-24 system.

Due Diligence:

-  Complete Initial Risk Screening and initial disposition (OFAC/Factiva/Negative Media/WorldCheck) for customer and related parties

- Based on the established protocols escalate true matches or possible matches to the respective area.

- Review and inputs FATCA related client´s information

• Update and document information of existing clients sent by Relationship Managers or Assistants.

• Assess the completeness of the account opening documentation, verify signatures on file and perform required screenings for existing clients as per protocols.

• Challenge 1st LoD as needed

Projects and Team Development

• Plan, coordinate and execute special projects as requested by Management.

• Oversee the day-to-day activities of the team.

• Assist in recruit and manage an appropriate team to support the development and execution.

• Mentor and develop staff using a supportive and collaborative approach on a consistent basis.

What we’re looking for :

• Leadership aptitude, ability to motivate and engage team members at all levels with the ability to influence.

• Informs and becomes informed via an exchange of facts, best practices, and issues

• Professional contributor, with full ownership for one or more processes

• Ability to identify potential enhancements in processes, write procedures and reports.

• Account opening documentation knowledge, including CIP, CDD ownership structures

Qualifications:

Bachelors required or equivalent experience

5-7 years of relevant experience or demonstrated required level of proficiency 

AML certification(s) preferred, similar or banking experience in control area

Bilingual English, Spanish

 Competences: 

• Verbal and written communication skills. In a timely and straightforward manner.
• Ability to quickly learn new information technologies and systems in order to evaluate controls.
• Ability to work independently with limited supervision.
• High flexibility and agent of change
• Anticipate customer needs and proactively makes recommendations.
• Detail oriented with organizational skills.
• Solid diplomatic skills with the ability to resolve conflict.