Specialist, AML/CFT Surveillance

L3 investigation

•       Leverage escalation findings from Level 1 and Level 2 investigation team either manual or automatic cases to conduct holistic investigation on customer’s trading activities including individual and corporate and to access for any suspicious activity, pattern or behavior found in the trading account.

•       Utilise various internal and external system and database to assist with the investigation and research on the potentially suspicious customer.

•       Further liaise/communicate with other stakeholder such as Branch Compliance Officer (BCO) or Business Unit (BU) to obtain relevant information for the purpose of developing a comprehensive investigation report.

•       Document and report the investigation finding and prepare case file with supporting evidence and documentation to maintain effective record keeping

•       Produce well-written reports detailing and analysing the potential suspicious activities and make determination whether to close the case or file for Suspicious Transaction report (STR) within prescribed SLA.

•       Stay abreast with current AML/CFT issue including industry best practice, policies, procedures and current AML trends as well as provide insight and recommendations on improve quality of work or how to reach optimal efficiency in current processes.

•       Conduct regular assessment on the relevant red flags against the latest AML/CFT typologies.

Suspicious Transaction Report (STR) submission

•       Understanding the STR guidelines and report submission process to Bank Negara Malaysia (BNM) through FINS.

•       To be aware on the different turn-around-time of the processes that needs to be adhered and record keeping requirements.

•       To update STR register and track SLA.

•       To prepare monthly management report for compliance presentation

Learn and Lead

•       Identify learning themes for investigator based on actual escalation and work with trainers and quality assurance teams to produce learning materials

•       Provide coaching and guidance to colleague/stakeholders on matters pertaining AML/CFT

•       Provide training support and guidance to team member and AML/CFT Operations Service Partner (AOSP) on identification and reporting of suspicious transactions.

•       Maintain a current understanding of money laundering and terrorist financing issues, including policies, procedures, regulations, industry best practice, criminal typologies and developing trends.

Ad-hoc

•       To undertake any task assigned by Manager and Department Head.

•       To participate in ad-hoc projects, tool development projects as well as in drafting of procedures in relation to monitoring of transaction.

•       Contribute in transformation of workflow and practices to enhance and innovate the AML/CFT investigation process.

•       Assist with money laundering related queries/questionnaires received.

•       Assist in identifying systemic procedural weaknesses and additional training requirements for the Investment Bank.