FORUM CHHEDA

Interactive Brokers

10.2017 - Current

Support aspects of client onboarding to ensure compliance with Anti-Money Laundering (AML), Know Your Customer (KYC), Customer Information Program, USA PATRIOT Act, and FinCen guidance requirements
Analyze client data, documentation, and negative news in order to understand a client risk profile as established under AML and KYC procedures
Perform research via internal and external sources, and collect and analyze documentation in accordance with regulatory and KYC requirements
Review negative media alerts from client screening tools (e.g., World-Check)
Conduct transaction monitoring and other surveillance reviews
Conducting Customer Due Diligence (CDD) on organizations and individuals to assist with client on-boarding
Validation and analysis of documentation in accordance with regulatory and KYC requirements
Complete KYC on boarding for new and pre-existing customer (KYC Refresh) by reviewing client documentation
Demonstrated exceptional attention to detail when reviewing account applications, ensuring data accuracy before submission.
Continuously updated personal knowledge on industry regulations and best practices, ensuring adherence to relevant guidelines at all times.
Reduced errors in manual processes by participating in the development of an automated system that streamlined new account openings.
Managed a high volume of daily transactions, ensuring accuracy and timeliness in all aspects of account administration.