Regulatory Filtering Analyst

Role Description

• The Service Operations (Operations) Profession is responsible for the delivery, oversight and management of functional teams undertaking operational and transaction-based processes, working within agreed policies, procedures, Key Performance and Risk Indicators.
• Operations objectives include designing and implementing a robust control environment that allows and drives efficient and effective processing.
• The environment should ensure we meet regulatory requirements and can verify the completeness and accuracy of all transactions and operational processes.
• The objectives include operational assurance on the integrity of the books & records and deliver effective service to our clients.
• Operations develop and maintain effective relationships across client and partner groups.
• The RTB Reviewer are primarily responsible for the appropriate review, confirmation and decision-taking on stopped messages to confirm mismatches for release from the transaction filtering process in line with applicable Sanction regulations and the Banks policies and procedures.

Your key responsibilities

• Support the RTB team lead in protecting DB from legal, regulatory and reputational risk with regard to business involving sanctioned entities and / or countries.
• Ensure diligent review and confirmation of transactions that require escalation to a Level 2 investigator and decide on these in full compliance with the applicable Sanctions regulations and the banks policies and procedures.
• Execute internal control checks as defined in the KOP documentation and Embargo control framework documents governed by AFC Sanction & Embargo.
• Support any applicable reporting obligations to the competent authorities with respect to transaction handling.
• Convert timely the update of the relevant embargo lists in respective filtering systems implement the data to central and decentralized tools in GT and Operations.
• Support CoC Regulatory Filtering team on the adoption of new clients.

RTB focus

• Primarily review stopped messages and take a decision on them (either pass or investigate), based on limited set of rules provided and maintained by AFC.
• Record rationale for decision from pre-defined set of options.
• Seek feedback from more senior investigators/reviewers, where their decisions fail the four-eye control.
• Provide support feedback loop and filter optimization by identifying repeat mismatches to propose Good Guys.
• Use user access privileges only for authorised purposes; actively safeguard sensitive and confidential information.

CTB focus

• Supports TSMO / AFC related change projects
• Supports remediation actions owned by TSMO / AFC
• Training & Development
• Participate Trainings such as on HotScan, Sanctions policies, L1 procedures, specific payment types, including structure / form of messages.

Your skills and experience

• Sanctions and Regulatory Filtering
• SWIFT Message Format and Fields
• SWIFT Payment Flow
• SEPA Message Structure and Payment Flow
• MS Office (MS Excel, Word and Outlook)
• Proficient in e mail communication
• Good communication skills (Written & Verbal)
• Ability to support rotational shifts
• Ready to support on weekends.