National Commercial Bank, Capital Markets Limited (Internship)
- Executes all onboarding compliance-related steps to determine within the field including background checks and verification of professional licenses
- Assist with (Caseware-Alessa ) regarding regulatory compliance
- Manage and remediate alerts in the Anti-Money Laundering (AML) monitoring applications
- Aids with Anti-Money Laundering (AML) Risk Rating to ensure the prevention of money laundering
- Review new and current repo agreement application forms in the absence of the compliance officer
- Ensures the onboarding process meets all requirements and adheres to all employment laws
- Assisting with the resolution of all compliance (including KYC) related exceptions in audit reports; updating records and escalating inquiries where necessary
- Data Entry and Analysis: Inputting, updating, and maintaining data in various systems, spreadsheets, and databases for compliance
- Document Management: Managing and organizing documents, both physical and electronic
- This includes filing, scanning, archiving, and retrieving important files and records
- Communication and Correspondence: Handling internal and external communications
- Respond to inquiries from employees, clients, and administration via phone and email regarding onboarding processes and documents
- Continually boosted branch production and revenue by 50% by consistently meeting all monthly and quarterly sales goals