Quote:
Originally Posted by Unregistered
Second this. I'm interested to know as well. Purely reviewing cases and decides whether to close or have the respective BUs to follow up and provide more information to substantiate their justifications. Aside from that, also have other compliance/regulatory projects to manage and implement... and also have to oversees other controls involving other BUs including trawling through dealing room chats
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as long as it's monitoring function it should be aml ops function, especially you only get BU to follow up and dont even file STR. I know some setup where the ops will review 1st level and if deem suspicious will escalate to compliance to follow through (more in depth investigation and file STR thereafter if needed).