**The Post Execution Quality Regional Lead will be part of the ICG KYC Post Execution Quality Review Team unit. The unit is tasked with conducting quality control reviews across Corporate and Investment Bank, Direct Custody & clearing and Investor services client population. Responsibility includes smooth functioning of regional/global PEQR team. The program engages stakeholders and provides formalized defect reporting and feedback on a monthly basis to senior management/stakeholders involved in the KYC Record process. The objective is to improve the quality of the KYC Records**:**Job Background/context**:**The Institutional Client Group (ICG) is responsible for providing KYC operational services to our clients through implementing state of the art technologies which promote the collection, research, storage, and processing of KYC data. The unit is responsible globally to ensure the ICG Business remains compliant to or exceeding the standards mandated by AML/KYC Compliance organization and regulators.**:**The ICG KYC Post-Execution Quality Review team within the ICG KYC Utility is responsible for performing Post-execution quality reviews on KYC profiles as per guidelines**:**Key Responsibilities**:**_ The responsibilities of Post Execution Quality Team Lead are as under:_**:**Process and Team Management**:- ** Ensures region/team achieves KYC quality review targets and completes feedback loop in a timely manner**:- ** Ensure PEQR process is up to date in lines with ongoing audit findings**:- ** Act as primary contact for MCA data submissions, wherever required**:- **Act as primary point of contact for assigned region/process**:- ** Take ownership of team development and mentoring**:**Stakeholder Management**:- ** Develop platform / strategy wherein stakeholders (Ops, Compliance, Policy, Risk and Controls, Internal Audit etc.) come together and discuss KPIs relating to quality of KYC records**:- **Build relationships across various verticals of KYC process and create an environment of open discussion / innovation**:- ** Explore opportunities to enhance visibility of quality teams within and outside of ISG**:- **Discuss and document need of local and Global management teams and accordingly establish framework to achieve results**:- **Design and implement team engagement framework**:**Continuous improvement program**:- ** Proactively review metrics and KPI's to identify emerging trends**:- **Conduct root cause analysis on past data and isolate any recurring trends**:- ** Collaborate with stakeholders and **agree on action plan to avoid issues**:- ** Controls Reporting oversight, oversight of PEQR MCA including ensuring quality related MCA's exist and co-ordination of testing and results, recommending suitable solutions/ of Corrective Action Plans(CAPs) for any gaps identified**:- ** Plan for an audit, including identifying gaps in critical processes and ensuring CAPs are raised prior to the audit**:**Process Framework Management**:- ** Take complete ownership of the process framework**:- ** Participate in various internal/external forums with an objective to provide insights on new developments on quality process**:- ** Assess impact of new changes and provide inputs from PEQR perspective**:- **Pro-actively update PEQR procedures and other related documents**:- ** Act as Global lead when dealing with Internal Audit. Guide and mentor other leads and ensure audit requests are responded**:**Development Value**:**Knowledge/Experience**:**_Required_**:- ** A proven track record with at least **6-10 years** of relevant KYC/AML experience (i.e. Quality Assurance, Client Onboarding, Compliance, Audit and Regulatory)**:- ** Compliance, Audit and Regulatory experience**:- ** Ability to perform reviews of processes and identify issues/ gaps**:- ** Proven success in leading a team**:**_ Preferred_**:- ** Strong Operations experience desirable**:- ** Global experience would be beneficial**:**Skills**:- ** Exhibit **strong** written and verbal communication skills (English & Spanish)**:- ** Possess the ability to work with various Stakeholders/Senior management and build and maintain effective working relationships**:- ** Ability to manage team level processes and deliver presentations**:- ** Ability to proficiently use MS Office products, particularly Word, Excel, PowerPoint**:- ** Influence/negotiation** skills, strong analytical, **Project Management, time management skills, excellent attention to detail**:**Qualifications**:- ** Bachelor's Degree or higher with at least **6-10 years'** experience in relevant domain**:- **AML/KYC Certifications like ACAMS preferred**:**Competencies**:- ** Ability to multi-task and work independently**:- ** Ability to work to tight deadlines as part of a team**:- ** Exhibit quick decision making**:- ** Ability to interact with Auditors, Compliance and Independent Controls Groups as required**
