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Senior CDD Services Analyst|
Creates and maintains Commercial Banking (CMB) customers’ Know Your Customer (KYC) profiles in compliance with HNAH Anti-Money Laundering (AML)/Bank Secrecy Act (BSA) policy and CMB’s Line of Business (LOB) procedures. Completes initial customer due diligence, collect and review business documentation and communicates with the front office to facilitate in collection of required customer information.
Impact on the Business
- Complete initial customer due diligence based on bank systems of record, existing document repositories and publicly available information to reduce the Bank's AML and regulatory risk
- Review business documentation and other additional information provided by the line of business to ensure customer files are up-to-date and in line with HNAH policy and CMB’s LOB procedures to reduce risk
- Maintain customer files by compiling available information and consolidating into CMB’s KYC system
Customers / Stakeholders
- Maintain relationships with internal stakeholders in the Customer Due Diligence (CDD) services department, CMB’s front office, AML Compliance and other areas to help ensure the timely completion of customer due diligence reviews
Leadership & Teamwork
- Maintain awareness of AML/BSA policy updates, procedural changes and updates in compliance guidance to ensure appropriate maintenance of customer documentation in accordance with policy
Operational Effectiveness & Control
- Ensure activities completed are in compliance with applicable internal policies and procedures and external regulations to protect Company and customer interests
- Escalate complex or significant issues to higher management
- Participate in special CDD Services review, projects and training efforts, as required
- While this is a business role, any position with a financial services compliance focus entails a high degree of regulatory and reputational risk, particularly with risks arising out of non-compliance with extensive and complex regulations specific to the business. Failure to comply with these regulations would have significant negative effects on relations with regulators and the reputation of the company with the public, as well as potentially resulting in regulatory impediments to mergers and acquisitions and significant regulatory sanctions, including material regulator imposed fines
- The position directly supports activities in the CDD Services unit. While the role is CMB operations focused, knowledge of applicable AML/BSA policy and procedures is required
- Specifically, this role is involved in reviewing customer information and business documentation to assist in the creation and maintenance of KYC profiles for Commercial Banking customers
- The role is further defined by specific lines of business within commercial banking, such as large corporates, middle market enterprises and business banking, as well as by geographic region
- The position requires a thorough understanding of HNAH’s AML/BSA policy as well as their application through CMB’s LOB procedures
Management of Risk
- Ensure compliance, operational risk controls in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing any issues
- Promote an environment that supports diversity and reflects the HSBC brand
Observation of Internal Controls
- Maintains HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators
HSBC is blazing the trail for African-American colleagues, check it out:
As you complete your online application, please use source code: Historically Black Colleges
and Universities. If you would like to notify HSBC's Diversity Recruiting team of your application, please e-mail
Qualifications & Requirements
- Minimum of two years proven and progressive accounting, finance, or compliance experience or equivalent
- Minimum of an Associate’s degree in business, finance, accounting, related field or equivalent experience; Bachelor’s degree preferred
- Proven interpersonal, organizational, communications, analytical and project management skills
- Knowledge of HSBC products, services, operations and systems as well as legal and regulatory matters, particularly with respect to AML
- Proficiency with personal computers and pertinent software packages
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