• Review KYC documents and point out any deficiencies.

 

• Generate transactional alerts, review the same, obtain additional information, escalate wherever required, and close the alert.

 

• Prepare periodic MIS on the transactional alerts review and KYC review.

 

• Assist with the execution, monitoring, and testing of the various controls.

 

• Assist in developing metrics to measure and track compliance, risk, and the effectiveness of the various processes and programs.

 

• Coordinate response to 3rd party security questionnaires.

 

• Assists in the design of automation to enable scalability of compliance.

 

• Create and maintain data and documentation.

 

• Handle administration of compliance issues that arise in transactions/operations.

 

• Engage with internal and external auditors.

 

• Maintenance of regulatory deadlines.

 

• Support in compliance filings.

 

• Assist the Compliance Manager in various compliance-related activities.