Conduct risk assessments and provide risk acceptance recommendations, primarily for high-risk clients within the client group, following initial pre-assessments by AML Operations / branch operations / Relationship Manager (RM) / Customer Advisory (CA), or Senior Customer Advisory (SCA).
Review risk factors and changes in risk ratings flagged by AML Operations / branch operations / CA / SCA.
Ensure appropriate approvals are obtained to complete the review process.
Assess the client’s background, including the Source of Wealth (SOW) write-up and any corroboration provided by AML Operations, CA, or SCA. Update or revise the SOW narrative based on the latest available information and supporting documentation.
Collaborate closely with AML Operations, RM, CA, or SCA teams to ensure timely and accurate completion of in-scope reviews.
Provide business recommendation if to retain or exit client relationships...
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