Customer Due Diligence Analyst

Job Description

1. Document and Information Review:

a. Utilize CLIENT systems, to access documents and customer profile information.

b. Cross-reference information and documents across CLIENT system and downloaded documents based on the guidelines set by the CLIENT.

c. Identify lacking information or expired documents based on checklist provided by CLIENT

d. Email the corresponding business units to request for lacking or updated documents /information. Send follow-up emails as necessary to ensure timely submission.

e. Identify customer information for updating or correction in the system

f. Identify the customers nature of business or industry, purpose for having an account and source of funds

2. NAME SCREENING

a. Conduct name screening using Google search and CLIENT systems and discount potential hits

b. Save screenshots of name screening to the applicable shared folder

3. RISK RATING - Conduct risk rating on the customer by using customer risk rating template.

4. TRANSACTION REVIEW - Conduct transaction review based on transaction summary reports. Request information from business unit on significant transactions.

5. Escalate to the CDD Quality Assurance and CDD Head in case of noted red flags (e.g. no KYC documents, positive hits on name screening, high risk rating)

6. Documentation of Due Diligence –

a. Document the review on CDD template and make a recommendation based on the due diligence performed

b. Save PDF copies of relevant documents for audit trail and uploading to EDMS,

7. Email the CDD template and recommendation to the CDD Quality Assurance and CDD Head.

8. Performance of Post Review Activities

a. Update the review status in the masterfile located in the shared folder

b. Upon completion of due diligence review, convert applicable documents to PDF for audit trail and upload relevant documents to EDMS, CLIENT's centralized document database.

Required Skills:

· Proficient in using Excel and Word

· Good oral and written communication skills

· Analytical and critical thinking skills

· Sound decision making skills