CDD & Liability Operations Officer

• University Degree
  
• Good analytical, interpersonal & Computer appreciation and application skills
  

Skills and Experience

• Business support –response to incoming Client Due Diligence (CDD) queries, processes, Global Name Screening (GNS) performance for different units, documents retrieval from the Client Due Diligence (CDD) systems
  
• Awareness of process and changes/training front line on the process change and expectations on Client Due Diligence Anti Money Laundering (CDD AML) issues.
  
• Group sensitive client reviews Individual Banking (IB) and Business Banking (BB)
  
• High Net worth client’s management.
  
• Responding to Control Sample Test (CST) requests from Business Risk Management (BRM) team
  
• Agent Banking creation and management
  
• Monthly review and management of minor accounts (Safari Junior) who have turned 18 years of age.
  

Exceptional Management Framework (EMF) Reports and Analytics Exceptions:

• Review the monthly reports and action on the items picked by the Exceptional Management Framework (EMF) teams.
  
• Identify the requirements needed from the monthly exceptions.
  
• Communicate to clients for requests that require client intervention.
  
• Ensure letters are sent to the client’s registered email address held on file and the RMs are copied in the communication for noting.
  
• Monitoring and responding to client communication sent to the generic email.
  
• Receive documents from clients to clear any deficiencies identified and then submit for Checking & approval from the Wealth & Retail Banking Chief Operating Officer (WRB COO) and Head of Onboarding, Uganda.
  
• Prepare static data amendment forms upon receipt of the documents from the clients and ensure these are scanned to Global Business Services (GBS) for completion.
  
• Follow up and ensure all cases forwarded to GBS for static data amendment and ensure that all updates are completed within agreed Turn Around Time (TAT).
  
• Bring to the attention of the Wealth & Retail Banking Chief Operating Officer (WRB COO) and Head of Onboarding, Uganda escalations regarding Turn Around Time (TAT) breaches for appropriate action.
  
• Confirm completion of the static amendments and update the trackers.
  
• Closely Work with the different stake holders like the Branches, frontline team, and Management regarding any exceptions that need their intervention.
  
• Place Hard holds for the clients who have not responded in the stipulated time
  
• Initiate Removal of Hard holds for the clients who have responded with the required documents.
  
• Share the status update reports with the EMF team and seek approval from Wealth & Retail Banking Chief Operating Officer (WRB COO) and Head of Onboarding, Uganda if there are items that require exclusion from the report.
  
• Responding to any queries that may arise in relation to the Exceptional Management Framework (EMF) reports.
  

Unclaimed Account Management

• Receive the list of unclaimed accounts and confirm which ones are due for transfer to Bank of Uganda
  
• Check all the memos sent along with the list of unclaimed accounts for transfer and confirm that all is correct.
  
• Seek approval from the Country Chief Operating Officer (COO) for transfer of funds to Bank of Uganda.
  
• Perform checker role once the unclaimed lists have been scanned in the system and references shared.
  
• Follow up to ensure that the unclaimed transfers are completed within the timeline.
  
• Identify the list of accounts that are due for advertising in the print media which in line with the process.
  
• Review the list and confirm that the data is correct.
  
• Obtain all the approvals from the different stake holders.
  
• Follow up to ensure that the unclaimed lists of accounts are fully advertised in the print media and the same archived as per the process and procedures.
  
• Handling requests concerning retrieval of unclaimed funds from Bank of Uganda (BOU).