Client Engagement and Regulatory Specialist

Job Purpose

To manage self or a team of regulatory analysts, and ensure that FICA, FATCA & CRS-related activities & functions are executed within defined AML standards & requirements while simultaneously maintaining control over applicable processes, in accordance with Client Operations Strategy.

Job Responsibilities

Manage a team and ensure effective processing of FICA and all client data related capturing and records maintained
• Ensure the validation function on FICA, FATCA & CRS all in the context of business as usual (New to Bank, onboarding of new clients and Reviewing of existing clients)
• Review of clients by ensuring that "gaps" are identified in the FICA, FATCA & CRS requirements of existing clients.
• Ensure adherence to FICA, FATCA & CRS requirements by upskilling/guidance/training to front line to ensure that all NCIB Client records are optimally managed and maintained.
• Ensure that defined FICA/FATCA and CRS-related activities & functions are executed within defined standards & requirements while simultaneously maintaining control over applicable processes.
• Maintain sound relationships with the relevant internal and external stakeholders by ensuring achievement of high levels & quality of service delivery as experienced by stakeholders contributing to customer retention.
• Ensure that all Stakeholders are advised by resolving queries promptly.

Essential Qualifications - NQF Level

Preferred Qualification

Advanced Diplomas, Bachelor’s Degree, LLB, Related Compliance / AML certificates

Minimum Experience Level

3 or more years banking experience in KYC/ Anti-Money Laundering.

Type of Exposure

Managed Relationships
• Provided Client Service
• Provided Administrative Support
• Completed Reports and Achieved Budgets
• Developed and Implemented Communications Strategy
• Managed Self
• Managed own Career

Technical / Professional Knowledge

Behavioural Competencies