CAO Operations Job Description

CAO Operations Job Description

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CAO operations provides learning needs to the KYC Academy and ensure that Global KYC operational staff training and KYC awareness is embedded in the Global KYC Operations organisation.

CAO Operations Duties & Responsibilities

To write an effective CAO operations job description, begin by listing detailed duties, responsibilities and expectations. We have included CAO operations job description templates that you can modify and use.

Sample responsibilities for this position include:

Partner with, Technology, Operations, Quality Assurance, Compliance, Legal, and Front Office Management
Case management and administrative suppsist in organizing meetings with stakeholders, including Front Office and Compliance
Taking responsibility for personal continuing AML/KYC education and learning
The primary responsibility of this position is to facilitate, monitor and ensure compliance with the five stages of the corporate TPO policy and process
Project manager within the CIB BSA/AML Article VI Customer Due Diligence program
Schedule internal/external meetings and appointments
Define project scope, stakeholders, strategic solution and delivery plan
Build and maintain working relationships with stakeholders in the different businesses and functions
Partner with technology to ensure the desired business solutions against challenging timeline
Accountable, manage, participate and lead various areas of the Program required to meet the objectives and deliverables of the Annual Risk Assessment long term strategy

CAO Operations Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for CAO Operations

List any licenses or certifications required by the position: AML, CAMS, KYC, ACAMS, OFAC

Education for CAO Operations

Typically a job would require a certain level of education.

Employers hiring for the CAO operations job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Sound, Finance, Economics, Criminal Justice, Forensic Accounting, Accounting, Management, Business, Financial Services, Education

Skills for CAO Operations

Desired skills for CAO operations include:

Compliance
AML/KYC
KYC/Due Diligence
Guidelines
Investigations
JPMC KYC standards
MS office & MS SharePoint
AML/KYC issues
Anti-Money Laundering
Screening issues

Desired experience for CAO operations includes:

Basic computer programming experience
Ongoing management of mailing lists (e-commerce and other)
Website oversight
Experienced in business process and product lifecycle
Ability to manage multiple priorities/projects in a fast moving environment
Adhere to a robust auditable governance process and artefacts to ensure accurate and timely delivery of all Program obligations for CIB

CAO Operations Examples

1

CAO Operations Job Description

Job Description Example
Our company is looking to fill the role of CAO operations. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for CAO operations
  • Manage Alert Operations Controls work-streams, including being the point person and coordinator for Risk and Control Self assessments, Internal and External Audits, GFCC Compliance Testing, OCC & other regulatory exams, and Change Management programs
  • Manage and facilitate client due diligence
  • Provide Front Office stakeholders with necessary KYC documentation to complete
  • Keep minutes and establish/manage action logsProblem solving and general liaising with the KYC Case Lead
  • Liaise with other KYC due diligence teams
  • Performing due diligence on client KYC profiles
  • Research using public and internal resources
  • Update clients’ KYC records to regulatory and internal standards
  • Update internal reference data systems
  • Ensure no discrepancies exist on client record
Qualifications for CAO operations
  • Ability to use Photoshop
  • Confident and authoritative manner of carrying oneself (Executive presence)
  • Core KYC skills
  • Focused on continuous professional improvement
  • Adhering to KYC/AML policies and procedures
  • Investigating AML red flags and escalating as necessary
2

CAO Operations Job Description

Job Description Example
Our growing company is hiring for a CAO operations. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for CAO operations
  • Maintaining vendor inventory and engagement details and ensuring complete understanding of the business and vendor engagements to further add value as part of the TPO process
  • Assisting in third party reviews and assessments
  • Developing appropriate metrics to support decision making and tracking of vendor activities
  • Training key stakeholders (Delivery Managers, Sponsors, Executives, etc) on all aspects of the policies, processes and systems
  • Supporting Executive sponsors, providing reporting, MIS, support for DMs
  • Contributing to the further enhancement of our internal TPO processes, reports and systems
  • Acting as a key escalation point for all third party issues
  • Manage the project lifecycle , drive the delivery of large cross LOB projects
  • Manage Real Estate requirements in all regions
  • Support creation of executive level presentations on strategy, budget, project delivery, controls, risks
Qualifications for CAO operations
  • Establishing CIB Senior Executive Stakeholder agreement & engagement to proposed program and approach
  • Ensuring the Program is impactful from a business perspective and aligns with other core business strategies and direction Risk Tolerance Statements, full and total resonation with how our businesses are managed and run
  • Establish and adhere to a fully auditable framework aimed at maintaining a standardized process for measuring project status based on objectives and deliverables
  • Ensure effective program communication to all stakeholders and impacted parties
  • Demonstrable leadership traits
  • Excellent communication, influencing and negotiation skills with the ability to lead, establish and communicate at all levels (including senior stakeholders such as LOB Executives, SCOs, GFCC heads etc)
3

CAO Operations Job Description

Job Description Example
Our innovative and growing company is hiring for a CAO operations. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for CAO operations
  • Provide support to the programme lead across large scale CIB wide programs addressing key concerns raised by regulators
  • Maintain the Global Asset Pricing policy and recommend best practice pricing methodologies & hierarchies, the recommended ‘Gold’ vendor hierarchy
  • Manage a staff in both Brooklyn and Delaware locations
  • Manager teams metrics and quality
  • Continue to improve operational performance of the team
  • Partner with Operations Managers to ensure consistency of work product, between teams
  • Work on Procedural Governance Program
  • Help implement new programs and technology solutions
  • Organize and launch (with support from Ops leaders) Firmwide programs and forums driving innovation, addressing common issues and sharing best practices
  • Prepare executive level presentations on a broad range of topics across the CAO organization
Qualifications for CAO operations
  • A proactive approach to problem solving, taking ownership of issues and having the determination to follow things
  • Proactive, flexible and calm personality
  • Demonstrated interest in helping the non-profit sector
  • Ability to be flexible and follow tight deadlines
  • Proactive approach to problem solving, taking ownership of issues and having the determination (tenacity) to execute
  • Bachelors Degree in Business, Finance, Accounting or other degree with relevant banking/financial services work experience
4

CAO Operations Job Description

Job Description Example
Our company is hiring for a CAO operations. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for CAO operations
  • Act as a thought leader to drive problem solving, identify issues and actionable opportunities, adapting strategy to changing environments
  • Partner with Finance as needed to support budget planning (e.g., through Roadmap) or cost-driven efforts
  • Partner with communications function to produce communications and develop executive messaging
  • Assist the team in organizing and launching (with support from Ops leaders) Firmwide programs and forums driving innovation, addressing common issues and sharing best practices
  • Proactively drive progress for the assigned work-streams
  • Execute against CAO Controls workstreams, risk and control self assessments, change management program across process migration, system migration, and document management
  • Ensure CAO Controls programs are executed holistically and that critical handshakes between processes are identified and addressed completely
  • Primary responsibility for a CAO sub-function as a go-to person for Risk and Controls
  • Provide strong thought leadership and communication skills in relaying CAO Controls information to global colleagues, stakeholders and staff
  • Understand and comply with regional and regulatory requirements pertaining to CAO when executing the testing of resiliency plans, SLAs, IAS charters, and system access management
Qualifications for CAO operations
  • Ability to work under tight deadlines, comply with urgent request and re-prioritize workload according to business needs
  • Good knowledge of cash and derivative products (FX, IR and Equity products) is helpful
  • Technical understanding of the business is critical in this role
  • Derivatives knowledge & experience is required, knowledge of securities products is a plus
  • Ideally experienced with exotic equity or credit or interest rate derivatives knowledge
  • A minimum of two years prior operational and/or line experience, is required
5

CAO Operations Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of CAO operations. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for CAO operations
  • Review and analyze underlying data gathered to assess reasonable cause to advance an alert to Investigations or to clear the alert
  • Establish collaborative working relationships with other CAO Alert / Investigations team members globally
  • Function as a key contributor with demonstrated knowledge of AML/KYC /CLS issues, broader functional knowledge
  • Identify control gaps within CAO wide programs and implement effective controls to close the gaps identified
  • Conduct gap analyses between differing CAO processes, at both a high and detailed level
  • Effectively partner with CAO stakeholders and firm subject matter experts so as to effectively understand firm standards, polices and regional regulatory requirements
  • Track key issues and risks
  • Produce detailed project plans that will be the base document to define roles, responsibilities and milestones
  • Organize and launch (with support from Ops leaders) Firmwide programs and initiatives driving innovation, addressing common opportunities/issues and/or sharing best practices
  • Prepare executive level presentations to track/communicate/report on a broad range of topics across the CAO organization
Qualifications for CAO operations
  • Responsible for defining the implementation roadmap for CIB relating to assigned working groups /streams CIB in
  • At least 5 - 7 years experience in financial services, min 2 years of in project management, preferably in operations
  • 4+ years of experience in finance, business management, strategic initiatives and/or project management
  • Ability to influence outcomes and get the best from the business
  • Ideally 2+ years of experience in finance, business management, strategic initiatives and/or project management
  • Team oriented and flexible, with an ability to take ownership over specific tasks or projects and proactively move them forward

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