Regulatory Examination Response

Challenge Client must update all customer documentation to meet regulatory standard

Worked closely with compliance team within the division cited in the regulatory report, to update the KYC documentation requirements as required.

  • Provided project manager and client research team to re-document client files as defined by bank’s client information requirements.  Clients include international financial institutions, corporations, investment funds and corresponding advisors.
  • Developed database to track project progress and to report on project operating metrics to client management.
  • Prepared client for regulator review meetings
  • Met required completion timelines defined by client and regulators