Kyc/cdd Senior Administrator

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**OB DESCRIPTION**
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**KYC/CDD Senior Administrator**

**PURPOSE**:
As a member of the KYC/CDD Team you will ensure that Apex has a comprehensive and effective system for the Customer Lifecycle Management of know your customer due diligence procedures, processes, and controls.
- To ensure that Apex and its underlying Managed Client Licensees meet their legal and regulatory requirements in relation to its underlying obligations in respect to KYC/CDD and to:

- Execute the duties of the role diligently and professionally
- Deliver the Apex Client Charter
- Act in accordance with the Apex Code of Conduct
- Support and foster collegiate and friendly interpersonal relationships at all levels

**RESPONSIBLITIES/ACCOUNTABILITIES**:

- To be appointed as a member of the KYC/CDD Team as a Senior Administrator to the Apex line of businesses.

Be part of a dedicated team for Investor Onboarding and KYC activities for Apex to provide the following support:

**Key Responsibilities**:

- Report to the KYC/CDD Manager and assist in their duties to ensure customer/Investor due diligence is kept to a high standard.
- The role will ensure all due diligence procedures, processes and controls are applied throughout the lifecycle of the customer and in accordance with the local regulations, Apex policies and procedures.- Perform open source searches, file reviews, verification and escalate findings where necessary.
- To be able to interact and give advice & guidance on all KYC/CDD related matters to the 1st line of defence, key stakeholders & customers/clients, where applicable.
- Study legal and commercial documents to understand customer activity and associated risks.
- Obtain a general understanding and able execute AML/CFT policies and procedures, in accordance with local & Group controls.
- Quality Control activities: Obtain an in-depth knowledge of procedures and systems to ensure customer records and maintained, assessable, and compliant with regulatory requirements.
- Teamwork with other stakeholders, Legal, AML, Compliance, Regional and Group on-boarding teams.
- Prepare customer KYC/CDD files, reports, and file-notes as required and participate in special projects, as requested.
- To assist the KYC/CDD Manager in the collation of Management Information (MI), providing oversight.

**Technical**:

- Be central to the Teams role to implement client/investor ongoing review program.
- Assistance with the final review of all relevant KYC/CDD tasks and oversight of tasks.
- Provide KYC/CDD advice and guidance to the business.
- Knowledge of customer screening tools, World Check One.
- In conjunction with The ID Register, review and sign off CDD as required across the business and undertake oversight where required.
- To refer any sanctions monitoring alerts and negative news screening results and undertake any actions as required.
- Support and liaise with The ID Register Operations Manager to continuously improve processes and systems.
- To provide assistance to the Apex AML team engagement to manage all aspects of countering financial crime and terrorist financing.

**Expertise**
- An excellent knowledge of KYC/CDD.
- Understanding the concept & use of sanctions and customer screening tools.
- Monitor systems and suggest changes to system and processes in line with technical change.

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**KEY RESULT AREAS**
- To produce all necessary reports relating to the KYC/CDD Manager, as required.
- To fulfil the role of an KYC/CDD Senior administrator.
- To ensure the filing of all necessary forms / submissions.
- To keep up to date on all relevant legal and regulatory changes relevant to the role & business.
- To provide advice and guidance on technical KYC /CDD legal or regulatory changes to the KYC/CDD Manager, as required.
- To assist to ensure that staff receive adequate and appropriate training on KYC/CDD, risk and compliance to meet regulatory responsibilities.

**STAFFING SPECIFICATION**
- Self management and interpersonal skills and relationship management at all levels.
- The ability to deliver pragmatic solutions to AML/CFT related issues.
- Self-starting and capable of working with light supervision.
- Confident delivery of solutions to support the business.
- Processes a high level of Integrity, trustworthiness and confidentially.

**TARGET VOCATIONAL QUALIFICATIONS**
- Commitment to continuous professional development.
- Attendance at Industry seminars.
- AML/CFT, particularly KYC/CDD and other relevant update / skills courses as required.
- Bachelor’s degree / Compliance/AML qualifications, for example the KYC/CDD Certificate/Diploma, Compliance/AML/FCP.

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V.1/01/03/2021