​​​​Syed Aleem​

Job position. AML CDD Analyst -HSBC Holding Plc-Commercial Banking 

​2013 - present

 

• Update KYC Profiles in accordance with the group policy, Which includes undertaking due diligence and obtaining documents as required from the client/Relationship Manager(RM)

• Support KYC requirements for Global Banking & Market and Commercial Banking for customer across multiple business lines and ensuring AML regulation and HSBC policies and procedures are fully implemented.

• Provide timely, high-quality and flexible KYC client identification for potential clients wishing to do business with HSBC.

• Ensure KYC escalation policies are followed and issues are escalated to Management in a timely fashion.

• Review extended due diligence to assess risk by forwarding comments to compliance for agreement and approval.

• Ensure accurate completion of the risk assessment of individual relationships in accordance with Bank policy and Regulator guidance.

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Key Responsibilities- Remediation Quality Control Analyst

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• Ensure high quality output with minimal rework, to anticipate risks, adopt new policies & changes and to address issues identified in a timely fashion.

• Support Remediation analyst in producing timely, high quality KYC profiles and address quality issues in line with the Group Policy, Which includes undertaking due diligence and obtaining documents as required from the client / Relationship Manager.

• Ensure that all existing audit recommendation within their remit is closed out and all profiles are approved within the established standards of the group.

• Raise internal Suspicious Activity Reports where appropriate.

• Communicate with RM’s for information and client documentation requirements for the purpose of remediation and ensure client information is obtained on a timely basis.

• Engage with individual remediation analyst in reviewing files or writing Risk Summaries where required.

• Proactively identify guidance issues based on feedback from the analysis as well as personal knowledge, and provide constructive feedback and solution for how to address these identified.

• Engage with SMEs and QAs to identify team training requirements, liaise with L&D lead and the PMO to coordinate training activities, as needed.

• Keep abreast of developments within the financial regularly environment and proactively educate the team on the same.

• Highlight any major findings to the RM and the compliance in order to decide if the bank is happy to continue the relationship with the client.

• Facilitate continuous improvement and the sharing of best practices in conjunction with peers and line management

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Job position. Relationship Manager-of ICICI Bank Limited.

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Key Responsibility – As an RM

• Create and maintain new accounts

• Offer high quality customer service in a professional manner.

• Carry out trades for customers.

• Put up stock quotes and news to customers.

• Follow up on leads from potential customers.

• According to the information provided by analyst made recommendations on buying and selling stocks.

Made research and find information about the market in domestic and foreign equities, government stocks and securities

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