Islahuddin Khan

• KYC periodic reviews
• Prepare the annual campaign of the periodic reviews, identify the scope to be delivered, allocate the reviews in the different country portfolios, animate the annual campaign life cycle, work with global stakeholders for review follow-ups, manage review file assignments re-balancing between different portfolios, exercise governance of the review process, and lead the analysis for problematic KYC reviews or issues and propose solutions.
• Deactivation Process:
• Coordinate the process of deactivation between all stakeholders, monitor the quality of the production of the deactivation team, be the point of escalation for issues relating to clients that were deactivated, ensure post-mortem and action follow-up of the incident.
• Restriction Process:
• Take charge of the coordination between all actors of the process for Missing Documentation, including escalations to Global Team, define common calendar and ensure adherence to deadlines, define the scope of eligible clients for the region for each restriction wave, discuss exemption rules with FO / Compliance / KYC, communicate and control statuses of restriction following decision to restrict, be the point of escalation for issues regarding restricted clients, ensure post-mortem and action follow-up of the incident.
• Review Performance Monitoring:
• Perform the analysis of review indicators to identify root causes of poor performance of the review, monitor the set-up of corrective actions to meet the defined target by the function owner, take ownership of the monitoring tools, provide proposals for the design and strategy for optimizing the KYC team’s monitoring process.
• Review Process Improvement:
• Lead in the implementation of various deliverables under the KYC Periodic Reviews including restrictions, analyze and document ECM review process, lead the convergence effort on a worldwide basis with the objective of preventing issues between regions, identify opportunities to improve the process and monitor the implementation of initiatives.

Lead or contribute to optimization projects impacting the KYC periodic review functions.

: Population Management

• ➢ Defining KYC reviews / remediation’s reviews to be done for current years/ projects
• ➢ Identify the addition / deletion of files to review within the annual campaign regarding the initial scope.
• ➢ Ensure that annual campaign is reflected in the systems. with the validation of Compliance. Coordinate with project teams the creation of remediation projects (independent from annual campaign portfolios).
• ➢ Animate the annual campaign lifecycle, Owns reallocation rules
• ➢ Manage reallocations of reviews between different portfolios
• ➢ Analyze and propose massive inactivation’s from annual campaign.
• ➢ Ensure the coordination between all the actors of the process of deactivation from annual campaign.
• ➢ Be the point of escalation for issues regarding "Inactivated/ Restricted clients.
• ➢ Identify and implement performance and risk indicator.
• ➢ Regular updates to KYC/ Compliance management
• ➢ Lead analyses/studies on problematic of analysis of scope, such as data quality issues in Documentum. Define tactical actions for remediation and organize long term remediation plan with specific governance.

B KTP Role

• Project manager/ Business analyst for global KYC Dashboard i-Tool which gives KYC/AML health information on daily basis to all global stakeholders within SG network
• Global contact for review monitoring enhancement project in which precise follow-up of reviews in KYC Doc, enhancement of consistency / reliability of monitoring and suppression or limitation of local tracking tools

C: Campaign Management

➢ Periodic review/ remediation campaign manager

➢ Campaign management role is an integral part of the KYC Existing Client Management periodic review Cycle. Prepare the annual campaign of the periodic reviews. Identify the scope to be delivered allocate the reviews in the different country / teams (Onshore/ offshore)

➢ Animate the annual campaign life cycle. Work with global stakeholders for review follow-ups. Manage review file assignments re-balancing between different portfolios.

➢ Exercise governance of the review process, and lead the analysis for problematic KYC reviews or issues and propose solutions.

D: Restriction Management

➢ Coordinate the business line FO/COO of deactivation between all stakeholders.

➢ Point of escalation for issues relating to clients that were deactivated. Ensure post-mortem and action follow-up of the incident.

➢ Define the scope of eligible clients for the region for each restriction wave

➢ Discuss exemption rules with FO / Compliance / KYC. Communicate and control statuses of restriction following decision to restrict.

➢ Ensure that relevant risks, issues, actions, dependencies, and other related artefacts are tracked for resolution/completion and escalated on a timely basis as needed.

➢ Project Planning & Monitoring – Monitor tasks per project plan (MSP), Follow-up action owners for completion/updates, Coordinate and send upcoming and due tasks to PD/PM, Clarity Milestones & deliverables monitoring, Attend Tollgate Board Review Meetings, Log in the CR system/database & monitor approvals for any Change Requests related to tollgates

➢ Preparation of Management Executive packs for Client on boarding/KYC / reports and other MIS around Cost; Head count; Volume; Control & Risk etc. as per business requirements

➢ Reviewing the deliverables / QC of reports prior to onshore/ Client on boarding/KYC

➢ Providing commentaries and variance analysis for Financial / Operational / HC and breaks related reporting for Client on boarding/KYC

➢ Standardization of Management Executive packs across all Business / Product silos

➢ Identifying and implementing best practices across silos to produce standard information for Management reporting

➢ Analysis of Process Documents and suggesting / coming out with optimal process within Business Management space

➢ Active involvement with migration projects, toll-gate sign offs (including Smooth Transition of new processes)/ Client on boarding/KYC

➢ Preparation, finalizing and publishing the monthly KPI trackers, Capacity models

➢ Active lead role in change projects, automations, and process improvement initiatives

➢ Able to manage multiple stakeholders and resource allocation as per varying organization needs

➢ Ensure adequate back-ups created for all critical positions and assist other teams during contingencies (Staff shortage, high volumes etc.).

➢ Escalate all issues in time, to the appropriate level, to avoid any adverse impact on the business

➢ Regular and proactive Engagement with the stakeholders - Onshore counterparts/CTB/HR/BE to provide solutions to business issues and to take the organization to the next level

➢ Promote the culture of ownership and accountability for the process