Document Services Officer

ID de la solicitud: 272937

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Purpose 

Contributes to the overall success of the International Operations & Shared Services and Business Service Center (BSC) ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives.  Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. 

The Document Services Officer is responsible for assessing the quality and accuracy of customer and Bank generated documentation related to all aspects of the Corporate, Commercial & Mid-Market Banking portfolio and other Business line portfolios supported by the Centre. Additionally is responsible  the execution of account AML/KYC documentation and regulatory onboarding activities, including but not limited to: 

Onboarding new borrowing and non-borrowing customers for Corporate, Commercial & Mid-Market segments. 

Processing requests for new and additional accounts and services to the above customers. 

This position is primarily responsible for managing new client onboarding requests from Corporate, Commercial & Mid-Market Banking and Global Transaction Banking (GTB). 

The officer will be responsible to ensure all AML/KYC documentation is complete and accurate prior to recommending to the Manager for set up client or accounts/products in the Bank systems. Also, will be responsible to record deficiencies related to KYC documentation, completely and accurately providing the Manager with recommendations for corrective action and following up for timely resolution and escalation if not resolved. 

Accountabilities  

-Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge. 

-Meet Regulatory and Bank policies and procedures for Customer transactions and products by: 

-Working directly with clients to complete requisite AML/KYC documentation ensuring the Know Your Customer (KYC) requirements are met including Customer identity, source(s) of funds and the nature and volume of the activity that is to be undertaken and taking corrective action when policies and procedures are not adhered to. 

-Opening business accounts (or arrange for accounts to be open where applicable) on the Bank’s systems as per authorized customer documentation and preparing Transmittal/Forms for the accurate set-up of cash management / electronic banking products. 

-Adhere to Bank and centre security procedures with respect to assigned authorities and responsibilities. 

-Document and escalate any unusual occurrences or fraudulent activity to your Supervisor/Compliance Officer as soon as you become aware of it in conjunction with the Bank’s Anti-Money Laundering Guidelines. 

-Maintain the digital file kept in ISDR, or similar system, up to date with the latest customer information in the KYC folder. Ensure physical and digital KYC file is maintained current by monitoring and complying with file refresh requirements dictated by IB KYC procedures manual and Global AML/ATF policies upon occurrence of trigger events. 

-For BSU countries, ensure documents sent for review and approval in the BSC are uploaded into ISDR and locked after approval. 

-Prepare reports for management on the status of onboarding, account opening, request for changes in associated parties including signatories, directors, legal representatives, etc. Contact client directly to request missing documentation or assist with correction of deficiencies as required. Escalate deficiencies or document defects to management and/or RM as applicable, and follow up for final resolution.   

-Stay informed of changes in the Global AML/ATF policies and local regulations; and helps educate internal and external clients on significant changes.   

-Assist to the overall business objectives of the BSC and business partners by: 

-Being responsible to execute a detailed document review program ensuring all assigned documentation: 

-Meets the specifications stipulated by the appropriate adjudicating bodies, including Global AML Unit. 

-Is accurate, complete, properly executed, and registered as required. 

-Maintaining the high standards stipulated by the Sr. Manager and Manager Document Services. 

-Being responsible to escalate all exception items and matters requiring attention to the Manager Document Services for resolution. 

-Assisting the Manager Document Services to deal with any local document related issues and concerns, liaising with the necessary departments to ensure problems are documented and resolved. 

-Assisting the Business Banking Community at large to execute its document related responsibilities. 

-Assisting with the preparation and completion of internal Bank reports and external regulatory returns, if needed.  

-Assisting with BSC assigned projects involving compiling client information for reporting purposes, updating Banking systems and / or tracking tools and/or client files with specified requirements. 

-Assist the BSC and the Banking Sales Force to improve the Customer Service Experience by: 

-Ensuring all interactions with both customers and the Business Banking Community are conducted in a professional manner and in such a way as to protect the positions of both the Bank and the Customer. 

-Identifying, documenting and escalating to the Manager Document Services unique non-standard customer documentation. Liaising with Customers as instructed by the Manager Document Services. 

-Dealing directly with customers where required in order to ensure proper execution of documentation.  

-Looking for opportunities to simplify, eliminate or automate activities to improve overall productivity. 

-Responding to questions and requests while operating in a changing sales and operations environment. 

-Maintaining a sound working relationship and acting as a point of contact for all sales and service functions dealing with / escalating concerns as appropriate. 

-Being responsible to review the BSC Checkpoint portal, the Enterprise-Wide AML/ATF Policy and the Enterprise-Wide AML / ATF and Sanctions Handbook, among others, and be current with all updates to ensure the delivery of services directly with the Bank’s clients and internal business partners. 

-If applicable, being responsible to review and understand the onboarding process and requirements for Offshore Banking clients including those detailed in a Special Systems Procedures Manual or similar type of manual or handbook related to offshore accounts.   

-Assist with the development and implementation of measures to ensure customer service is consistent with Scotia Service Standards by: 

-Acquiring a working knowledge of the Bank’s operating account, CMS and Merchant products. 

-Identifying, documenting and escalating to the Manager Document Services unique non-standard customer documentation. Liaising with Customers as instructed by the Manager Document Services. 

-Providing courteous, receptive accurate and timely responses to customers. 

-Taking full responsibility for all customer inquiries/concerns/complaints directed to them by resolving those matters within their discretion to the customer’s satisfaction or by referring the customer to the appropriate source, as set out in the Bank’s Complaint Resolution Standards and Procedures. 

-Maintaining confidentiality of Bank and customer information. 

-Preparing correspondence relative to customer/external inquiries. 

-Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions. 

-Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.  

-Champions a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vison/values/business strategy and managing succession and development planning for the team

Education / Experience 

Education: 

-College or University degree and / or comparable work experience 

Work Experience: 

-Commercial Banking experience and operations would be an asset. 

-Complete knowledge of Commercial and Corporate policies and procedures, as well as products and services. 

-Complete knowledge of Bank regulations, policies, procedures and branch operations. 

-Complete knowledge of related regulatory requirements including AML, KYC, CIP and Privacy legislation. 

-Thorough knowledge of Scotia Service and Complaints Resolution Standards and Procedures. 

-Expert knowledge of the Bank’s operating, sales, and product documentation. 

-Thorough knowledge of the steps / requirements – legal and otherwise – required to maintain the enforceability of all terms and conditions stipulated in agreements between the customer and the Bank. 

-Thorough time management skills in order to satisfy the needs of a large client group. 

-Thorough PC skills using appropriate software tools. 

-Knowledge of the Partner Groups and major stakeholders. 

Ubicación(s):  República Dominicana : Distrito Nacional : Santo Domingo

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