2014 YEAR END REVIEW TO MY MANAGER
Data Integrity
There are issues with the data in our core systems that affect reporting, projections, and statistics, etc. I was a key part of this initiative by workin on approximately 1,200 accounts within multiple data sets: draft accounts, credit cards, mortgages, brokerage, etc. Each account required assessing the issues, finding what system fixes needed to be made, and implementing a plan for each. The review process included: cross referencing the relationships to see if linking was possible; checking if the DPB requirements of AUM’s & PUM’s were met; verifying if individual accounts were with RBWM or DP; and looking at consols to see if they were part of a larger relationship. The core issues were fixed through the use of systems and programs such as HBUS CIF, Portfolio View, CRM and Global Plus. I coordinated with the Front Office, DCT, and Change Delivery teams to ensure constant progress of each initiative. This has enhanced my knowledge of the systems and I have used this to better aid the front office in multiple endeavors.
Collaboration
In addition to collaborating with various departments on the data integrity initiative I have also collaborated with DCT on other projects including: creating the 2014 Document Reference Guide; redesigning the DCT Checklist to be more user friendly; and added numerous KYC information, such as protocols for BAU and account opening. My efforts were recognized by E. Pineiro & E. Morales in DCT further establishing great working relationships.
Data Requests
I fulfilled multiple EDD Validation Requests for the monitor, in which the client profile and relevant documentation that could support the risk rating needed to be submitted. The purpose of this test was to assess whether risk ratings within the same consol were reasonable and appropriate. This involved creating a spreadsheet to reflect Risk Factors, Ownership Structure, and inputting comments as to why there was a difference of risk ratting within the same consol. I identified the risk factors of each BP and IP within the AP and documented the Ownership Structure with exact ownership percentages. In another exercise for the monitor, I prepared account packages for selected trust accounts and verified that information on CRM matched the trust documents that were on file. This included information and documentation on the grantor, trustees and named beneficiaries. All outstanding issues from the last audit were closed out as a result.
Along with the daily BAU requirements, I have kept regular communications with the front office, DCT and AML teams. I have certified in excess of 400 accounts spanning 8 Relationship Managers in 3 different states as part of the Phase III AP Certification Project, Convertible Jurisdiction and FATCA initiatives. Communication and time management have been essential in accomplishing my goals. All deadlines for A.P. Cert, C. J. & FATCA initiatives were met.
My direct involvement in the projects has expanded my knowledge of private bank systems and helped specialize my KYC focus into particular areas. Working with many different departments has helped improve my communication skills and I feel that I have become a greater team player. I further understand that the success and efficiency of every project I do is directly related to the management of all types of risk.
This year has been my most task-diverse and productive year due to my ability to adapt to any process needed in order to accomplish multiple initiatives and to coordination with different departments all while maintaining my everyday goals. Other assignments that I undertook included updating front office protocols, testing CRM enhancements, and global standards task analysis.
2014 YEAR END REVIEW REPLY FROM MY MANAGER
Vito has had a solid and productive 2014 serving as a KYC Analyst for NAM.
Vito has successfully developed his process and KYC knowledge with respect to KYC AP Certification Review. He has a strong work ethic and can be relied upon for the initiatives he is responsible for completing.
He has navigated internal communications in line with expectations. Vito conducts himself in a professional, respectable manner and provides an increasing quality of service as his process and product knowledge grows. He has demonstrated an understanding on how to set appropriate expectations and minimize iterations in KYC requests.
Vito is the ultimate team player – he has supported multiple books of business from a KYC AP Certification perspective and has helped the businesses by temporarily taking on various ad hoc projects.
Vito is an active contributor to the business, regularly working to identify solutions to gaps in processes and share best practices with the team. His thorough comprehension of the business and our requirements has earned him his current FT role.
Development Areas:
-Continue to develop process and KYC knowledge
-Expand internal relationships
2015 YEAR END REVIEW TO MY MANAGER
Data Integrity
• Completion of the Data Integrity Project - A large part of the Bank wide Global Standards Initiative revolves around data integrity. There are a number of issues surrounding the data in our core systems which in turn affects reporting, projections, projects, statistics, revenue etc. I have been a key part of this initiative having worked on approximately 1,200 accounts within multiple data sets; draft accounts, credit cards, mortgages, brokerage, legally blocked, etc. Each account required assessing the issues, finding what system fixes needed to be made, and implementing a plan for each one. The review process included; Cross referencing the relationships to see if linking was possible, checking if the DPB requirements of AUM’s & PUM’s were met, verifying if individual accounts were with RBWM or DP and looking at consol to see if they were part of a larger relationship. Most of the core issues were fixed through the use of various systems and programs, for example HBUS CIF, Portfolio View, CRM & Global Plus. I have coordinated with the Front Office, Operations, and Change Delivery teams to ensure constant progress of each initiative. This has helped enhance my knowledge of all systems and I have been able to use this to better aid the front office in multiple endeavors for 2015.
• Work on a list of 100 domestic accounts that will be closing. Use Portfolio View and Global+ in order to determine if an account was closed or in pre-closing. Add comments when dormant accounts and caution messages are found due to blockage from the Legal Department.
Periodic Review
• Support Marty Gruber, Eric Duskin, Pia Mathur & Tony Ferreira.
• Manage the largest population of accounts (approximately 500) and maintain a RAG status of Green for the past 12 months
• Interact with clients in order to collect the proper documentation
• Implement new Periodic Review process to the Marty Gruber Population e.g. Global Standards, FATCA, and Regulatory
• Formal recognition received from Marty Gruber and Michael Cerminaro for 12 consecutive months of Green RAG Status
Global Standards
• HSBC Star Program - Nomination by Anusha Gandhi for going above and beyond – Gold Status 03/30/2015
• Task execution for business management: estimate how long it would take to accomplish tasks for New Account Opening and Periodic Review, Mandatory fields, FCCRAM field access in collaboration with DCT, Prescreening of requirements with quick GAP analysis, CRM UAT testing and reporting
Audit Request
• Monitor: Perform GAP analysis to make sure the proper documentation is on file - Package and explain how the front office supports risk ratings as part of an EDD Validation Request.
• Create a spreadsheet for the front office to highlight Risk Factors and Ownership Structure. Input comments as to why there are differences in risk rating for accounts within the same consol, identify the risk factors of each BP and IP within the AP and document the Ownership Structure to reflect the exact ownership percentage.
• Met with Joe T Palma (PB Operational Risk) and reviewed accounts spanning the LAM and NAM business
• Fulfill OCC audit queries multiple Relationship Managers across the NAM business
Training
• Formal training for approximately 25 employees (Temps/RO’s) on how to use front office systems for day to day use
• Interview and provide feedback on 15 potential employees
• Train a team of 11 analysts on how to perform the Periodic Review from start to finish
• Provide weekly/daily communication of emerging KYC requirements
• Address quality assurance common errors on a weekly basis
• Conduct numerous impromptu training events for the Analyst Team @ 330 Maddison
Create Periodic Review Quality Assurance Procedures in conjunction with business management which include - Status / progress of each analysts - QA metrics per analyst - Expected completion rates / Goals per day, week, and month - Progress against goals and explain how this being tracked
Collaboration
• Direct involvement in multiple projects continues to refine my knowledge of DPB systems. Pursuit of my KYC focus into specific areas and working with many different departments has helped improve my communication skills. Being a team player who understands that the success of every project has a direct link to all types of risk.
• Recognition of Nitin Malhotra & Yaacov Zakif (Jacob) - going above and beyond by providing a new hire with helpful insight and resources
Conclusion
• A highlight of my year is the ability to adapt to any process to accomplish multiple initiatives, coordinate with different departments, all while maintaining my day-to-day goals. This balanced approach has helped me with task-diversity, efficiency and productivity.
2015 YEAR END REVIEW REPLY FROM MY MANAGER
Vito had a strong and productive 2015 with HSBC as a KYC Analyst for NAM, primarily responsible for providing KYC and onboarding support to the clients of Marty Gruber.
Vito is a professional, hardworking and dedicated team member. He remains focused on his job and strives to provide results in line with expectations.
Vito’s work ethic is strong. He is committed to satisfying all responsibilities and consistently performs at or above expectations.
Vito’s communication skills are strong. He manages interactions with internal colleagues well.
Vito has effectively supported the RM team, client needs and served as Business Management support with Periodic Review and Onboarding initiatives. He has met all expected milestones. He is regularly able to identify opportunities for process improvements, and should continue to focus on proposing and owning solutions to identified opportunities in 2016.
Vito’s quality of work is solid. He understands the complexities of the role and executes Periodic Review well, amalgamating numerous requirements to extend logical requests to clients, and collecting the necessary information and documentation to meet our AML and KYC needs.
In regards to teamwork, Vito is a great team player within his RM Team and within the KYC Analyst Team. He provides primary and backup support to RMs and clients, going above and beyond to help, always in a professional and respectful manner. Vito is always willing to assist other members of the KYC Analyst team when they have questions or need guidance.
Vito’s development plan and action items for 2016 will include the following:
-continue sharing subject matter expertise and owning solutions to identified process improvements
2016 YEAR END REVIEW TO MY MANAGER
Periodic Review
· Support Marty Gruber, Eric Duskin, Pia Mathur, Tony Ferreira & Nicholas Maffucci. Manage the pace of the most complex and second largest population of accounts (approximately 740) while maintaining a RAG status of green during the first quarter and amber for the second quarter.
· Met goal of 100% analyzed for the year ahead of schedule.
· The only KYC analyst that executes written and verbal communication with clients in order to collect the proper documentation.
· Implement new Periodic Review process to the Gruber Population e.g. Global Standards, FATCA, and Regulatory
Analyst
· Back up Josimari Andrade at 330 Madison during Core leave, days off and training.
· Reviewed approximately 50 resumes, recruit talent, interview approximately 30 candidates, give my opinion for hiring recommendations
· Coordinate analyst upon request to assist RO’s in the time of need RM’s: Steven Desmond, John Sheehan, Fred Gatti, Raj Changlani, Andrew Themis.
· Reported on progress of analyst and assisted with RM alignments.
· Provide multiple types of guidance to the analyst which range from how to maintain pace of their KYC, HSBC best practices, to Life best practices.
· Trained and recommended FTE’s Michael Zervos, Stephen Roina, Christina Bryde
· All housekeeping items for 330 Madison which includes but not limited to liaising with Frances E Fele moving computers, phones, keys, supplies, lights, and HVAC
Analyst Training
· Formal training for approximately 20 employees (Temps/RO’s) on how to use front office systems for day to day use
· Provide weekly/daily communication of KYC requirements
· Address quality assurance common errors on a weekly basis
· Conduct numerous impromptu training events for the Analyst Team @ 330 Madison
· “Series of 7” Implement Periodic Review Quality Assurance Procedures in conjunction with business management which include - Status / progress of each analysts - QA metrics per analyst - Expected completion rates / Goals per day, week, and month - Progress against goals and explain how this is being tracked
Project POA
· Power of Attorney Remediation liaised between Amy n Ross and Timothy Schanen in regards to the day to day of the project.
AP Mortgage Project
· Created a process with multiple stationaries and statements to be placed in CRM. Liaised with DCT when problems arose during the 2 month project.
Project Green
· Lead by example for setting the pace and intensity needed to get it project completed one week before deadline.
· Thank you for all the hard work you have put into PEDR process so far. As of Friday, we have met our goal of having our Project Population 100% analyzed end of April, congratulations! Robert Bing
Global Standards
· Liaised with Change Delivery Michael V Hefty Global Standards Requirement 4681 Tests - Customer Family, Customer Type, Legal Entity Structure
· Researched and discover there is no longer an Eastern European client policy in the FIM and notified business management.
· Analyst Q&A Sessions (Following RO Call) a group that meets with Anusha if necessary to discuss global standard bottle necks.
· Identify protocols that are not listed in share-point and notify Alex Alongi
· CRM Fields / Business Definitions provide information for missing definitions to Alex Alongi
Client Complaints
· Attend the Biweekly Client Complaint Meetings to review and confirm all known complaints have been escalated and recognized.
· Liaised between middle office, legal, compliance and BRCM to identify any trends in client complaints
· Consol Weindling identified client complaint. Escalated to Client Complaints Team and Business Management. After negating FCC officers demands the RM (Fred Gatti) was able to retain the relationship from Exit. This incident was brought to the attention of Marlon Young (GPB Regional Head)
Random
· When an analyst erased the Gruber Shared Drive I was able to retrieve in a timely fashion through my relationship with Donald Buckley. The drive was replaced in 4 hours as opposed to 3 days.
· Assist John Sheehan with the RDC screenings and submittal of information. Negate hits on clients to FCC so that the CNN for the Goldberg & Catholic Health can move forward.
Audit Request Monitor & OCC
All of the below has been achieved through collaboration from Diana Shen and Amy Ross
· Provide formal training to a team of 12 analysts on how to execute GAP analysis and package all requests
· Formally invited to the BCC meeting. Announced by Robert Bing as the lead analyst for Monitor KYC File Organization and Tasks.
· Perform GAP analysis, package and explained how the front office supports risk ratings as part of an EDD Validation Request. Disqualified multiple requests from monitor, due to date of implementation of requirements
· Worked with Amy M Taylor (Officer of, Small Business Lending) in regards to getting all Small Business credit applications which are not house on Portfolio View
· Provided the monitor with detailed information of when the Google Negative Media String was created in order to negate items requested.
· Synchronized with Carolina Costa so that packages sent to the Monitor were consistent across NAM and LAM
· Coordinated with Carolina Costa and Mauricio Currea, to provide analyst assistance in LAM account packaging and QA.
· Attended meetings for PB Monitor (Quick Touch point Call) hosted by Dennis Duggan
· Exceeded all deadline dates given by the Monitor.
· Identify and solve PDF’ing of a AP for any business accounts on CRM
· Reported/Coordinated all activities to Diana Shen during Amy Ross one week of TOP time
Recognition Given
· I have publicly recognized the following people for going above and beyond; Robert Bing, Lisa Cavanna-grynberg, Estefania Pineiro, Camilo Trespalacios, Nitin Malhotra and Yolanda Reesee
Recognition Received
· I have publicly been recognized by the following people; Robert Bing 4x, Patrick Campion, Dennis Duggan, Michael T Cerminaro, Martin Gruber 2x, Fred E Gatti 2x, John Sheehan 2x, Juan Camilo Trespalacios, Joe Abruzzo
Collaboration
· Direct involvement in multiple projects continues to refine my knowledge of DPB systems. Pursuit of my KYC focus into specific areas and working with many different departments has helped improve my communication skills. Being a team player who understands that the success of every project has a direct link to all types of risk.
Conclusion
· In 2016 I have strived to be the most value added employee, making choices to focus on maintaining pace, intensity, and representing HSBC’s mission and vision in everything I do. A highlight of the year is the ability to adapt to any process and accomplish multiple initiatives, coordinate with different departments, all while maintaining my day-to-day goals. This balanced approach has helped me with task-diversity, efficiency and productivity.
2016 YEAR END REVIEW REPLY FROM MY MANAGER
Rating: Strong Performer -
Delivers against performance objectives and exceeds on some
Performance often exceeds role expectations
Recognized by others as providing valued, constructive input and high quality, well-balanced results on a relative basis
Comments (3788 Characters): Vito had a strong and productive 2016, initially serving as a KYC Analyst, and then transitioning to the CLM Advisory team with focus on Quality Assurance.
Vito has exhibited growth throughout 2016. He has been able to effectively manage multiple initiatives simultaneously, and further developed subject matter expertise in the Periodic Review and CDD space. He maintains strong relationships in multiple areas of the business.
He has demonstrated leadership skills in his ability to train junior members of the KYC Analyst team as well as lead junior members of the KYC Analyst team in managing PEDR workload for the RM team he supported.
He has exhibited dedication to this business, always working above and beyond to provide a high quality of work and meet deadlines. He can accomplish goals independently, as well as direct junior members of the team.
Within the responsibilities Vito has managed, he has met all expected milestones, managed resources effectively and serves as an escalation point on our team with respect to Periodic Review and CDD requirements.
In 2017, Vito’s development plan will include the following:
- Leverage senior leaders to develop Technology skills
- Develop Global / Senior Management communication skills
- Evaluate the value of initiatives and delegate as appropriate
2017 YEAR END REVIEW TO MY MANAGER
My achievements against my day role and how I also achieve my objectives is by always thinking positive. This year has been one my most challenging and most role diverse in my tenure at HSBC. My ability to make solid principle decisions using the information I have acquired and referencing information that guides us at HSBC. A key factor to how I make my decisions is always based a checklist of questions I ask myself. How will this help the business become better? What is the impact to the client? What is the level of risk? Do I need to get the opinion of a SME to make an educated decision? I have found that asking myself this series of questions ensures a common sense approach to any issue presented. I always try to lead by example, be dependable, and exceed expectations when delivering on duties. And ensure my team is in the best position to be educated and successful.
When it comes to Risk Management and Compliance, understanding multiple perspectives and how to anticipate global or local changes in our BAU is very important to me. This year I have had the honor in helping the business drive decisions and identify gaps in our current processes. Given the opportunity to proactively anticipate any new risks due to the implication of Appway a global onboarding tool is one of my highlights of 2017. I have learned many new skills in the art of escalation and how to connect with the appropriate subject matter experts.
Accountability is a word that feel is at the core of my personal brand. Taking personal responsibility for the decisions I make as a team member of CLM Advisory is not taken lightly. As a person on one of the most influential teams in Private Banking, how I act and setting a strong standard for others is vital to the business success. During the Advisory weekly meetings I always attempt to identify the root cause of any issues brought to the table and share previous quality assurance findings to be included in the common errors section or this don’t make sense portions of the CLM Team weekly meeting.
I have had multiple conversations with colleagues teaching them how life is hard but always perform at your best. Being responsible and sustainable will ensure a long and prosperous road. Explaining the culture at HSBC and how fast the future can change here is always a reason to stay focused and pay attention. In my current role I continually seeks ways to improve effectiveness and learn how to decrease the difficulty’s the Business faces on a daily basis.
This year I have had to alter my approach on how to communicate, working with people from different countries and backgrounds is challenging, but making them understand my perspective is vital to my day to day. Collaboration and teamwork is the only way I was able to accomplish so much this year. Ivan Lin has taken me under his wing and taught me about a world that is complex and bursting with policies and procedures. I have learned to operate out of my comfort zone to ensure I put myself and teammates in the best position to learn and teach others what we know. I have embraced change by listing to feedback, and learning quick and easy ways to focus on the short term and long term goals simultaneously.
Some of my main achievements this year are: RAS1 implementation, Quality Assurance SME, Training Analyst in Buffalo, Appway Super Duper User, Created CRM Training Decks Sprints 3-11, Created Recorded WebEx CRM Trainings Sprints 8 – 11, Inspected all user stories for CRM sprints 6 -11, Inspected all user stories for Wave 1.5,2 and 3, Test CRM UAT and Production, Test Appway UAT and Production, Attend the Appway Steering Committee, Publically recognized by Michael Connolly to Stephen Wann regarding recorded usability sessions, Personal tour of CRM to Michael Connolly and team, HNAH NBFI Customer Type Tab, Tending to everyone’s queries in a professional and timely manner.
2017 YEAR END REVIEW REPLY FROM MY MANAGER - Pending
Highlights:
2014 YEAR END REVIEW TO MY MANAGER
Data Integrity
There are issues with the data in our core systems that affect reporting, projections, and statistics, etc. I was a key part of this initiative by workin on approximately 1,200 accounts within multiple data sets: draft accounts, credit cards, mortgages, brokerage, etc. Each account required assessing the issues, finding what system fixes needed to be made, and implementing a plan for each. The review process included: cross referencing the relationships to see if linking was possible; checking if the DPB requirements of AUM’s & PUM’s were met; verifying if individual accounts were with RBWM or DP; and looking at consols to see if they were part of a larger relationship. The core issues were fixed through the use of systems and programs such as HBUS CIF, Portfolio View, CRM and Global Plus. I coordinated with the Front Office, DCT, and Change Delivery teams to ensure constant progress of each initiative. This has enhanced my knowledge of the systems and I have used this to better aid the front office in multiple endeavors.
Collaboration
In addition to collaborating with various departments on the data integrity initiative I have also collaborated with DCT on other projects including: creating the 2014 Document Reference Guide; redesigning the DCT Checklist to be more user friendly; and added numerous KYC information, such as protocols for BAU and account opening. My efforts were recognized by E. Pineiro & E. Morales in DCT further establishing great working relationships.
Data Requests
I fulfilled multiple EDD Validation Requests for the monitor, in which the client profile and relevant documentation that could support the risk rating needed to be submitted. The purpose of this test was to assess whether risk ratings within the same consol were reasonable and appropriate. This involved creating a spreadsheet to reflect Risk Factors, Ownership Structure, and inputting comments as to why there was a difference of risk ratting within the same consol. I identified the risk factors of each BP and IP within the AP and documented the Ownership Structure with exact ownership percentages. In another exercise for the monitor, I prepared account packages for selected trust accounts and verified that information on CRM matched the trust documents that were on file. This included information and documentation on the grantor, trustees and named beneficiaries. All outstanding issues from the last audit were closed out as a result.
Along with the daily BAU requirements, I have kept regular communications with the front office, DCT and AML teams. I have certified in excess of 400 accounts spanning 8 Relationship Managers in 3 different states as part of the Phase III AP Certification Project, Convertible Jurisdiction and FATCA initiatives. Communication and time management have been essential in accomplishing my goals. All deadlines for A.P. Cert, C. J. & FATCA initiatives were met.
My direct involvement in the projects has expanded my knowledge of private bank systems and helped specialize my KYC focus into particular areas. Working with many different departments has helped improve my communication skills and I feel that I have become a greater team player. I further understand that the success and efficiency of every project I do is directly related to the management of all types of risk.
This year has been my most task-diverse and productive year due to my ability to adapt to any process needed in order to accomplish multiple initiatives and to coordination with different departments all while maintaining my everyday goals. Other assignments that I undertook included updating front office protocols, testing CRM enhancements, and global standards task analysis.
2014 YEAR END REVIEW REPLY FROM MY MANAGER
Vito has had a solid and productive 2014 serving as a KYC Analyst for NAM.
Vito has successfully developed his process and KYC knowledge with respect to KYC AP Certification Review. He has a strong work ethic and can be relied upon for the initiatives he is responsible for completing.
He has navigated internal communications in line with expectations. Vito conducts himself in a professional, respectable manner and provides an increasing quality of service as his process and product knowledge grows. He has demonstrated an understanding on how to set appropriate expectations and minimize iterations in KYC requests.
Vito is the ultimate team player – he has supported multiple books of business from a KYC AP Certification perspective and has helped the businesses by temporarily taking on various ad hoc projects.
Vito is an active contributor to the business, regularly working to identify solutions to gaps in processes and share best practices with the team. His thorough comprehension of the business and our requirements has earned him his current FT role.
Development Areas:
-Continue to develop process and KYC knowledge
-Expand internal relationships
2015 YEAR END REVIEW TO MY MANAGER
Data Integrity
• Completion of the Data Integrity Project - A large part of the Bank wide Global Standards Initiative revolves around data integrity. There are a number of issues surrounding the data in our core systems which in turn affects reporting, projections, projects, statistics, revenue etc. I have been a key part of this initiative having worked on approximately 1,200 accounts within multiple data sets; draft accounts, credit cards, mortgages, brokerage, legally blocked, etc. Each account required assessing the issues, finding what system fixes needed to be made, and implementing a plan for each one. The review process included; Cross referencing the relationships to see if linking was possible, checking if the DPB requirements of AUM’s & PUM’s were met, verifying if individual accounts were with RBWM or DP and looking at consol to see if they were part of a larger relationship. Most of the core issues were fixed through the use of various systems and programs, for example HBUS CIF, Portfolio View, CRM & Global Plus. I have coordinated with the Front Office, Operations, and Change Delivery teams to ensure constant progress of each initiative. This has helped enhance my knowledge of all systems and I have been able to use this to better aid the front office in multiple endeavors for 2015.
• Work on a list of 100 domestic accounts that will be closing. Use Portfolio View and Global+ in order to determine if an account was closed or in pre-closing. Add comments when dormant accounts and caution messages are found due to blockage from the Legal Department.
Periodic Review
• Support Marty Gruber, Eric Duskin, Pia Mathur & Tony Ferreira.
• Manage the largest population of accounts (approximately 500) and maintain a RAG status of Green for the past 12 months
• Interact with clients in order to collect the proper documentation
• Implement new Periodic Review process to the Marty Gruber Population e.g. Global Standards, FATCA, and Regulatory
• Formal recognition received from Marty Gruber and Michael Cerminaro for 12 consecutive months of Green RAG Status
Global Standards
• HSBC Star Program - Nomination by Anusha Gandhi for going above and beyond – Gold Status 03/30/2015
• Task execution for business management: estimate how long it would take to accomplish tasks for New Account Opening and Periodic Review, Mandatory fields, FCCRAM field access in collaboration with DCT, Prescreening of requirements with quick GAP analysis, CRM UAT testing and reporting
Audit Request
• Monitor: Perform GAP analysis to make sure the proper documentation is on file - Package and explain how the front office supports risk ratings as part of an EDD Validation Request.
• Create a spreadsheet for the front office to highlight Risk Factors and Ownership Structure. Input comments as to why there are differences in risk rating for accounts within the same consol, identify the risk factors of each BP and IP within the AP and document the Ownership Structure to reflect the exact ownership percentage.
• Met with Joe T Palma (PB Operational Risk) and reviewed accounts spanning the LAM and NAM business
• Fulfill OCC audit queries multiple Relationship Managers across the NAM business
Training
• Formal training for approximately 25 employees (Temps/RO’s) on how to use front office systems for day to day use
• Interview and provide feedback on 15 potential employees
• Train a team of 11 analysts on how to perform the Periodic Review from start to finish
• Provide weekly/daily communication of emerging KYC requirements
• Address quality assurance common errors on a weekly basis
• Conduct numerous impromptu training events for the Analyst Team @ 330 Maddison
Create Periodic Review Quality Assurance Procedures in conjunction with business management which include - Status / progress of each analysts - QA metrics per analyst - Expected completion rates / Goals per day, week, and month - Progress against goals and explain how this being tracked
Collaboration
• Direct involvement in multiple projects continues to refine my knowledge of DPB systems. Pursuit of my KYC focus into specific areas and working with many different departments has helped improve my communication skills. Being a team player who understands that the success of every project has a direct link to all types of risk.
• Recognition of Nitin Malhotra & Yaacov Zakif (Jacob) - going above and beyond by providing a new hire with helpful insight and resources
Conclusion
• A highlight of my year is the ability to adapt to any process to accomplish multiple initiatives, coordinate with different departments, all while maintaining my day-to-day goals. This balanced approach has helped me with task-diversity, efficiency and productivity.
2015 YEAR END REVIEW REPLY FROM MY MANAGER
Vito had a strong and productive 2015 with HSBC as a KYC Analyst for NAM, primarily responsible for providing KYC and onboarding support to the clients of Marty Gruber.
Vito is a professional, hardworking and dedicated team member. He remains focused on his job and strives to provide results in line with expectations.
Vito’s work ethic is strong. He is committed to satisfying all responsibilities and consistently performs at or above expectations.
Vito’s communication skills are strong. He manages interactions with internal colleagues well.
Vito has effectively supported the RM team, client needs and served as Business Management support with Periodic Review and Onboarding initiatives. He has met all expected milestones. He is regularly able to identify opportunities for process improvements, and should continue to focus on proposing and owning solutions to identified opportunities in 2016.
Vito’s quality of work is solid. He understands the complexities of the role and executes Periodic Review well, amalgamating numerous requirements to extend logical requests to clients, and collecting the necessary information and documentation to meet our AML and KYC needs.
In regards to teamwork, Vito is a great team player within his RM Team and within the KYC Analyst Team. He provides primary and backup support to RMs and clients, going above and beyond to help, always in a professional and respectful manner. Vito is always willing to assist other members of the KYC Analyst team when they have questions or need guidance.
Vito’s development plan and action items for 2016 will include the following:
-continue sharing subject matter expertise and owning solutions to identified process improvements
2016 YEAR END REVIEW TO MY MANAGER
Periodic Review
· Support Marty Gruber, Eric Duskin, Pia Mathur, Tony Ferreira & Nicholas Maffucci. Manage the pace of the most complex and second largest population of accounts (approximately 740) while maintaining a RAG status of green during the first quarter and amber for the second quarter.
· Met goal of 100% analyzed for the year ahead of schedule.
· The only KYC analyst that executes written and verbal communication with clients in order to collect the proper documentation.
· Implement new Periodic Review process to the Gruber Population e.g. Global Standards, FATCA, and Regulatory
Analyst
· Back up Josimari Andrade at 330 Madison during Core leave, days off and training.
· Reviewed approximately 50 resumes, recruit talent, interview approximately 30 candidates, give my opinion for hiring recommendations
· Coordinate analyst upon request to assist RO’s in the time of need RM’s: Steven Desmond, John Sheehan, Fred Gatti, Raj Changlani, Andrew Themis.
· Reported on progress of analyst and assisted with RM alignments.
· Provide multiple types of guidance to the analyst which range from how to maintain pace of their KYC, HSBC best practices, to Life best practices.
· Trained and recommended FTE’s Michael Zervos, Stephen Roina, Christina Bryde
· All housekeeping items for 330 Madison which includes but not limited to liaising with Frances E Fele moving computers, phones, keys, supplies, lights, and HVAC
Analyst Training
· Formal training for approximately 20 employees (Temps/RO’s) on how to use front office systems for day to day use
· Provide weekly/daily communication of KYC requirements
· Address quality assurance common errors on a weekly basis
· Conduct numerous impromptu training events for the Analyst Team @ 330 Madison
· “Series of 7” Implement Periodic Review Quality Assurance Procedures in conjunction with business management which include - Status / progress of each analysts - QA metrics per analyst - Expected completion rates / Goals per day, week, and month - Progress against goals and explain how this is being tracked
Project POA
· Power of Attorney Remediation liaised between Amy n Ross and Timothy Schanen in regards to the day to day of the project.
AP Mortgage Project
· Created a process with multiple stationaries and statements to be placed in CRM. Liaised with DCT when problems arose during the 2 month project.
Project Green
· Lead by example for setting the pace and intensity needed to get it project completed one week before deadline.
· Thank you for all the hard work you have put into PEDR process so far. As of Friday, we have met our goal of having our Project Population 100% analyzed end of April, congratulations! Robert Bing
Global Standards
· Liaised with Change Delivery Michael V Hefty Global Standards Requirement 4681 Tests - Customer Family, Customer Type, Legal Entity Structure
· Researched and discover there is no longer an Eastern European client policy in the FIM and notified business management.
· Analyst Q&A Sessions (Following RO Call) a group that meets with Anusha if necessary to discuss global standard bottle necks.
· Identify protocols that are not listed in share-point and notify Alex Alongi
· CRM Fields / Business Definitions provide information for missing definitions to Alex Alongi
Client Complaints
· Attend the Biweekly Client Complaint Meetings to review and confirm all known complaints have been escalated and recognized.
· Liaised between middle office, legal, compliance and BRCM to identify any trends in client complaints
· Consol Weindling identified client complaint. Escalated to Client Complaints Team and Business Management. After negating FCC officers demands the RM (Fred Gatti) was able to retain the relationship from Exit. This incident was brought to the attention of Marlon Young (GPB Regional Head)
Random
· When an analyst erased the Gruber Shared Drive I was able to retrieve in a timely fashion through my relationship with Donald Buckley. The drive was replaced in 4 hours as opposed to 3 days.
· Assist John Sheehan with the RDC screenings and submittal of information. Negate hits on clients to FCC so that the CNN for the Goldberg & Catholic Health can move forward.
Audit Request Monitor & OCC
All of the below has been achieved through collaboration from Diana Shen and Amy Ross
· Provide formal training to a team of 12 analysts on how to execute GAP analysis and package all requests
· Formally invited to the BCC meeting. Announced by Robert Bing as the lead analyst for Monitor KYC File Organization and Tasks.
· Perform GAP analysis, package and explained how the front office supports risk ratings as part of an EDD Validation Request. Disqualified multiple requests from monitor, due to date of implementation of requirements
· Worked with Amy M Taylor (Officer of, Small Business Lending) in regards to getting all Small Business credit applications which are not house on Portfolio View
· Provided the monitor with detailed information of when the Google Negative Media String was created in order to negate items requested.
· Synchronized with Carolina Costa so that packages sent to the Monitor were consistent across NAM and LAM
· Coordinated with Carolina Costa and Mauricio Currea, to provide analyst assistance in LAM account packaging and QA.
· Attended meetings for PB Monitor (Quick Touch point Call) hosted by Dennis Duggan
· Exceeded all deadline dates given by the Monitor.
· Identify and solve PDF’ing of a AP for any business accounts on CRM
· Reported/Coordinated all activities to Diana Shen during Amy Ross one week of TOP time
Recognition Given
· I have publicly recognized the following people for going above and beyond; Robert Bing, Lisa Cavanna-grynberg, Estefania Pineiro, Camilo Trespalacios, Nitin Malhotra and Yolanda Reesee
Recognition Received
· I have publicly been recognized by the following people; Robert Bing 4x, Patrick Campion, Dennis Duggan, Michael T Cerminaro, Martin Gruber 2x, Fred E Gatti 2x, John Sheehan 2x, Juan Camilo Trespalacios, Joe Abruzzo
Collaboration
· Direct involvement in multiple projects continues to refine my knowledge of DPB systems. Pursuit of my KYC focus into specific areas and working with many different departments has helped improve my communication skills. Being a team player who understands that the success of every project has a direct link to all types of risk.
Conclusion
· In 2016 I have strived to be the most value added employee, making choices to focus on maintaining pace, intensity, and representing HSBC’s mission and vision in everything I do. A highlight of the year is the ability to adapt to any process and accomplish multiple initiatives, coordinate with different departments, all while maintaining my day-to-day goals. This balanced approach has helped me with task-diversity, efficiency and productivity.
2016 YEAR END REVIEW REPLY FROM MY MANAGER
Rating: Strong Performer -
Delivers against performance objectives and exceeds on some
Performance often exceeds role expectations
Recognized by others as providing valued, constructive input and high quality, well-balanced results on a relative basis
Comments (3788 Characters): Vito had a strong and productive 2016, initially serving as a KYC Analyst, and then transitioning to the CLM Advisory team with focus on Quality Assurance.
Vito has exhibited growth throughout 2016. He has been able to effectively manage multiple initiatives simultaneously, and further developed subject matter expertise in the Periodic Review and CDD space. He maintains strong relationships in multiple areas of the business.
He has demonstrated leadership skills in his ability to train junior members of the KYC Analyst team as well as lead junior members of the KYC Analyst team in managing PEDR workload for the RM team he supported.
He has exhibited dedication to this business, always working above and beyond to provide a high quality of work and meet deadlines. He can accomplish goals independently, as well as direct junior members of the team.
Within the responsibilities Vito has managed, he has met all expected milestones, managed resources effectively and serves as an escalation point on our team with respect to Periodic Review and CDD requirements.
In 2017, Vito’s development plan will include the following:
- Leverage senior leaders to develop Technology skills
- Develop Global / Senior Management communication skills
- Evaluate the value of initiatives and delegate as appropriate
2017 YEAR END REVIEW TO MY MANAGER
My achievements against my day role and how I also achieve my objectives is by always thinking positive. This year has been one my most challenging and most role diverse in my tenure at HSBC. My ability to make solid principle decisions using the information I have acquired and referencing information that guides us at HSBC. A key factor to how I make my decisions is always based a checklist of questions I ask myself. How will this help the business become better? What is the impact to the client? What is the level of risk? Do I need to get the opinion of a SME to make an educated decision? I have found that asking myself this series of questions ensures a common sense approach to any issue presented. I always try to lead by example, be dependable, and exceed expectations when delivering on duties. And ensure my team is in the best position to be educated and successful.
When it comes to Risk Management and Compliance, understanding multiple perspectives and how to anticipate global or local changes in our BAU is very important to me. This year I have had the honor in helping the business drive decisions and identify gaps in our current processes. Given the opportunity to proactively anticipate any new risks due to the implication of Appway a global onboarding tool is one of my highlights of 2017. I have learned many new skills in the art of escalation and how to connect with the appropriate subject matter experts.
Accountability is a word that feel is at the core of my personal brand. Taking personal responsibility for the decisions I make as a team member of CLM Advisory is not taken lightly. As a person on one of the most influential teams in Private Banking, how I act and setting a strong standard for others is vital to the business success. During the Advisory weekly meetings I always attempt to identify the root cause of any issues brought to the table and share previous quality assurance findings to be included in the common errors section or this don’t make sense portions of the CLM Team weekly meeting.
I have had multiple conversations with colleagues teaching them how life is hard but always perform at your best. Being responsible and sustainable will ensure a long and prosperous road. Explaining the culture at HSBC and how fast the future can change here is always a reason to stay focused and pay attention. In my current role I continually seeks ways to improve effectiveness and learn how to decrease the difficulty’s the Business faces on a daily basis.
This year I have had to alter my approach on how to communicate, working with people from different countries and backgrounds is challenging, but making them understand my perspective is vital to my day to day. Collaboration and teamwork is the only way I was able to accomplish so much this year. Ivan Lin has taken me under his wing and taught me about a world that is complex and bursting with policies and procedures. I have learned to operate out of my comfort zone to ensure I put myself and teammates in the best position to learn and teach others what we know. I have embraced change by listing to feedback, and learning quick and easy ways to focus on the short term and long term goals simultaneously.
Some of my main achievements this year are: RAS1 implementation, Quality Assurance SME, Training Analyst in Buffalo, Appway Super Duper User, Created CRM Training Decks Sprints 3-11, Created Recorded WebEx CRM Trainings Sprints 8 – 11, Inspected all user stories for CRM sprints 6 -11, Inspected all user stories for Wave 1.5,2 and 3, Test CRM UAT and Production, Test Appway UAT and Production, Attend the Appway Steering Committee, Publically recognized by Michael Connolly to Stephen Wann regarding recorded usability sessions, Personal tour of CRM to Michael Connolly and team, HNAH NBFI Customer Type Tab, Tending to everyone’s queries in a professional and timely manner.
2017 YEAR END REVIEW REPLY FROM MY MANAGER - Pending
Companies I like:
N/A
2014 YEAR END REVIEW TO MY MANAGER
Data Integrity
There are issues with the data in our core systems that affect reporting, projections, and statistics, etc. I was a key part of this initiative by workin on approximately 1,200 accounts within multiple data sets: draft accounts, credit cards, mortgages, brokerage, etc. Each account required assessing the issues, finding what system fixes needed to be made, and implementing a plan for each. The review process included: cross referencing the relationships to see if linking was possible; checking if the DPB requirements of AUM’s & PUM’s were met; verifying if individual accounts were with RBWM or DP; and looking at consols to see if they were part of a larger relationship. The core issues were fixed through the use of systems and programs such as HBUS CIF, Portfolio View, CRM and Global Plus. I coordinated with the Front Office, DCT, and Change Delivery teams to ensure constant progress of each initiative. This has enhanced my knowledge of the systems and I have used this to better aid the front office in multiple endeavors.
Collaboration
In addition to collaborating with various departments on the data integrity initiative I have also collaborated with DCT on other projects including: creating the 2014 Document Reference Guide; redesigning the DCT Checklist to be more user friendly; and added numerous KYC information, such as protocols for BAU and account opening. My efforts were recognized by E. Pineiro & E. Morales in DCT further establishing great working relationships.
Data Requests
I fulfilled multiple EDD Validation Requests for the monitor, in which the client profile and relevant documentation that could support the risk rating needed to be submitted. The purpose of this test was to assess whether risk ratings within the same consol were reasonable and appropriate. This involved creating a spreadsheet to reflect Risk Factors, Ownership Structure, and inputting comments as to why there was a difference of risk ratting within the same consol. I identified the risk factors of each BP and IP within the AP and documented the Ownership Structure with exact ownership percentages. In another exercise for the monitor, I prepared account packages for selected trust accounts and verified that information on CRM matched the trust documents that were on file. This included information and documentation on the grantor, trustees and named beneficiaries. All outstanding issues from the last audit were closed out as a result.
Along with the daily BAU requirements, I have kept regular communications with the front office, DCT and AML teams. I have certified in excess of 400 accounts spanning 8 Relationship Managers in 3 different states as part of the Phase III AP Certification Project, Convertible Jurisdiction and FATCA initiatives. Communication and time management have been essential in accomplishing my goals. All deadlines for A.P. Cert, C. J. & FATCA initiatives were met.
My direct involvement in the projects has expanded my knowledge of private bank systems and helped specialize my KYC focus into particular areas. Working with many different departments has helped improve my communication skills and I feel that I have become a greater team player. I further understand that the success and efficiency of every project I do is directly related to the management of all types of risk.
This year has been my most task-diverse and productive year due to my ability to adapt to any process needed in order to accomplish multiple initiatives and to coordination with different departments all while maintaining my everyday goals. Other assignments that I undertook included updating front office protocols, testing CRM enhancements, and global standards task analysis.
2014 YEAR END REVIEW REPLY FROM MY MANAGER
Vito has had a solid and productive 2014 serving as a KYC Analyst for NAM.
Vito has successfully developed his process and KYC knowledge with respect to KYC AP Certification Review. He has a strong work ethic and can be relied upon for the initiatives he is responsible for completing.
He has navigated internal communications in line with expectations. Vito conducts himself in a professional, respectable manner and provides an increasing quality of service as his process and product knowledge grows. He has demonstrated an understanding on how to set appropriate expectations and minimize iterations in KYC requests.
Vito is the ultimate team player – he has supported multiple books of business from a KYC AP Certification perspective and has helped the businesses by temporarily taking on various ad hoc projects.
Vito is an active contributor to the business, regularly working to identify solutions to gaps in processes and share best practices with the team. His thorough comprehension of the business and our requirements has earned him his current FT role.
Development Areas:
-Continue to develop process and KYC knowledge
-Expand internal relationships
2015 YEAR END REVIEW TO MY MANAGER
Data Integrity
• Completion of the Data Integrity Project - A large part of the Bank wide Global Standards Initiative revolves around data integrity. There are a number of issues surrounding the data in our core systems which in turn affects reporting, projections, projects, statistics, revenue etc. I have been a key part of this initiative having worked on approximately 1,200 accounts within multiple data sets; draft accounts, credit cards, mortgages, brokerage, legally blocked, etc. Each account required assessing the issues, finding what system fixes needed to be made, and implementing a plan for each one. The review process included; Cross referencing the relationships to see if linking was possible, checking if the DPB requirements of AUM’s & PUM’s were met, verifying if individual accounts were with RBWM or DP and looking at consol to see if they were part of a larger relationship. Most of the core issues were fixed through the use of various systems and programs, for example HBUS CIF, Portfolio View, CRM & Global Plus. I have coordinated with the Front Office, Operations, and Change Delivery teams to ensure constant progress of each initiative. This has helped enhance my knowledge of all systems and I have been able to use this to better aid the front office in multiple endeavors for 2015.
• Work on a list of 100 domestic accounts that will be closing. Use Portfolio View and Global+ in order to determine if an account was closed or in pre-closing. Add comments when dormant accounts and caution messages are found due to blockage from the Legal Department.
Periodic Review
• Support Marty Gruber, Eric Duskin, Pia Mathur & Tony Ferreira.
• Manage the largest population of accounts (approximately 500) and maintain a RAG status of Green for the past 12 months
• Interact with clients in order to collect the proper documentation
• Implement new Periodic Review process to the Marty Gruber Population e.g. Global Standards, FATCA, and Regulatory
• Formal recognition received from Marty Gruber and Michael Cerminaro for 12 consecutive months of Green RAG Status
Global Standards
• HSBC Star Program - Nomination by Anusha Gandhi for going above and beyond – Gold Status 03/30/2015
• Task execution for business management: estimate how long it would take to accomplish tasks for New Account Opening and Periodic Review, Mandatory fields, FCCRAM field access in collaboration with DCT, Prescreening of requirements with quick GAP analysis, CRM UAT testing and reporting
Audit Request
• Monitor: Perform GAP analysis to make sure the proper documentation is on file - Package and explain how the front office supports risk ratings as part of an EDD Validation Request.
• Create a spreadsheet for the front office to highlight Risk Factors and Ownership Structure. Input comments as to why there are differences in risk rating for accounts within the same consol, identify the risk factors of each BP and IP within the AP and document the Ownership Structure to reflect the exact ownership percentage.
• Met with Joe T Palma (PB Operational Risk) and reviewed accounts spanning the LAM and NAM business
• Fulfill OCC audit queries multiple Relationship Managers across the NAM business
Training
• Formal training for approximately 25 employees (Temps/RO’s) on how to use front office systems for day to day use
• Interview and provide feedback on 15 potential employees
• Train a team of 11 analysts on how to perform the Periodic Review from start to finish
• Provide weekly/daily communication of emerging KYC requirements
• Address quality assurance common errors on a weekly basis
• Conduct numerous impromptu training events for the Analyst Team @ 330 Maddison
Create Periodic Review Quality Assurance Procedures in conjunction with business management which include - Status / progress of each analysts - QA metrics per analyst - Expected completion rates / Goals per day, week, and month - Progress against goals and explain how this being tracked
Collaboration
• Direct involvement in multiple projects continues to refine my knowledge of DPB systems. Pursuit of my KYC focus into specific areas and working with many different departments has helped improve my communication skills. Being a team player who understands that the success of every project has a direct link to all types of risk.
• Recognition of Nitin Malhotra & Yaacov Zakif (Jacob) - going above and beyond by providing a new hire with helpful insight and resources
Conclusion
• A highlight of my year is the ability to adapt to any process to accomplish multiple initiatives, coordinate with different departments, all while maintaining my day-to-day goals. This balanced approach has helped me with task-diversity, efficiency and productivity.
2015 YEAR END REVIEW REPLY FROM MY MANAGER
Vito had a strong and productive 2015 with HSBC as a KYC Analyst for NAM, primarily responsible for providing KYC and onboarding support to the clients of Marty Gruber.
Vito is a professional, hardworking and dedicated team member. He remains focused on his job and strives to provide results in line with expectations.
Vito’s work ethic is strong. He is committed to satisfying all responsibilities and consistently performs at or above expectations.
Vito’s communication skills are strong. He manages interactions with internal colleagues well.
Vito has effectively supported the RM team, client needs and served as Business Management support with Periodic Review and Onboarding initiatives. He has met all expected milestones. He is regularly able to identify opportunities for process improvements, and should continue to focus on proposing and owning solutions to identified opportunities in 2016.
Vito’s quality of work is solid. He understands the complexities of the role and executes Periodic Review well, amalgamating numerous requirements to extend logical requests to clients, and collecting the necessary information and documentation to meet our AML and KYC needs.
In regards to teamwork, Vito is a great team player within his RM Team and within the KYC Analyst Team. He provides primary and backup support to RMs and clients, going above and beyond to help, always in a professional and respectful manner. Vito is always willing to assist other members of the KYC Analyst team when they have questions or need guidance.
Vito’s development plan and action items for 2016 will include the following:
-continue sharing subject matter expertise and owning solutions to identified process improvements
2016 YEAR END REVIEW TO MY MANAGER
Periodic Review
· Support Marty Gruber, Eric Duskin, Pia Mathur, Tony Ferreira & Nicholas Maffucci. Manage the pace of the most complex and second largest population of accounts (approximately 740) while maintaining a RAG status of green during the first quarter and amber for the second quarter.
· Met goal of 100% analyzed for the year ahead of schedule.
· The only KYC analyst that executes written and verbal communication with clients in order to collect the proper documentation.
· Implement new Periodic Review process to the Gruber Population e.g. Global Standards, FATCA, and Regulatory
Analyst
· Back up Josimari Andrade at 330 Madison during Core leave, days off and training.
· Reviewed approximately 50 resumes, recruit talent, interview approximately 30 candidates, give my opinion for hiring recommendations
· Coordinate analyst upon request to assist RO’s in the time of need RM’s: Steven Desmond, John Sheehan, Fred Gatti, Raj Changlani, Andrew Themis.
· Reported on progress of analyst and assisted with RM alignments.
· Provide multiple types of guidance to the analyst which range from how to maintain pace of their KYC, HSBC best practices, to Life best practices.
· Trained and recommended FTE’s Michael Zervos, Stephen Roina, Christina Bryde
· All housekeeping items for 330 Madison which includes but not limited to liaising with Frances E Fele moving computers, phones, keys, supplies, lights, and HVAC
Analyst Training
· Formal training for approximately 20 employees (Temps/RO’s) on how to use front office systems for day to day use
· Provide weekly/daily communication of KYC requirements
· Address quality assurance common errors on a weekly basis
· Conduct numerous impromptu training events for the Analyst Team @ 330 Madison
· “Series of 7” Implement Periodic Review Quality Assurance Procedures in conjunction with business management which include - Status / progress of each analysts - QA metrics per analyst - Expected completion rates / Goals per day, week, and month - Progress against goals and explain how this is being tracked
Project POA
· Power of Attorney Remediation liaised between Amy n Ross and Timothy Schanen in regards to the day to day of the project.
AP Mortgage Project
· Created a process with multiple stationaries and statements to be placed in CRM. Liaised with DCT when problems arose during the 2 month project.
Project Green
· Lead by example for setting the pace and intensity needed to get it project completed one week before deadline.
· Thank you for all the hard work you have put into PEDR process so far. As of Friday, we have met our goal of having our Project Population 100% analyzed end of April, congratulations! Robert Bing
Global Standards
· Liaised with Change Delivery Michael V Hefty Global Standards Requirement 4681 Tests - Customer Family, Customer Type, Legal Entity Structure
· Researched and discover there is no longer an Eastern European client policy in the FIM and notified business management.
· Analyst Q&A Sessions (Following RO Call) a group that meets with Anusha if necessary to discuss global standard bottle necks.
· Identify protocols that are not listed in share-point and notify Alex Alongi
· CRM Fields / Business Definitions provide information for missing definitions to Alex Alongi
Client Complaints
· Attend the Biweekly Client Complaint Meetings to review and confirm all known complaints have been escalated and recognized.
· Liaised between middle office, legal, compliance and BRCM to identify any trends in client complaints
· Consol Weindling identified client complaint. Escalated to Client Complaints Team and Business Management. After negating FCC officers demands the RM (Fred Gatti) was able to retain the relationship from Exit. This incident was brought to the attention of Marlon Young (GPB Regional Head)
Random
· When an analyst erased the Gruber Shared Drive I was able to retrieve in a timely fashion through my relationship with Donald Buckley. The drive was replaced in 4 hours as opposed to 3 days.
· Assist John Sheehan with the RDC screenings and submittal of information. Negate hits on clients to FCC so that the CNN for the Goldberg & Catholic Health can move forward.
Audit Request Monitor & OCC
All of the below has been achieved through collaboration from Diana Shen and Amy Ross
· Provide formal training to a team of 12 analysts on how to execute GAP analysis and package all requests
· Formally invited to the BCC meeting. Announced by Robert Bing as the lead analyst for Monitor KYC File Organization and Tasks.
· Perform GAP analysis, package and explained how the front office supports risk ratings as part of an EDD Validation Request. Disqualified multiple requests from monitor, due to date of implementation of requirements
· Worked with Amy M Taylor (Officer of, Small Business Lending) in regards to getting all Small Business credit applications which are not house on Portfolio View
· Provided the monitor with detailed information of when the Google Negative Media String was created in order to negate items requested.
· Synchronized with Carolina Costa so that packages sent to the Monitor were consistent across NAM and LAM
· Coordinated with Carolina Costa and Mauricio Currea, to provide analyst assistance in LAM account packaging and QA.
· Attended meetings for PB Monitor (Quick Touch point Call) hosted by Dennis Duggan
· Exceeded all deadline dates given by the Monitor.
· Identify and solve PDF’ing of a AP for any business accounts on CRM
· Reported/Coordinated all activities to Diana Shen during Amy Ross one week of TOP time
Recognition Given
· I have publicly recognized the following people for going above and beyond; Robert Bing, Lisa Cavanna-grynberg, Estefania Pineiro, Camilo Trespalacios, Nitin Malhotra and Yolanda Reesee
Recognition Received
· I have publicly been recognized by the following people; Robert Bing 4x, Patrick Campion, Dennis Duggan, Michael T Cerminaro, Martin Gruber 2x, Fred E Gatti 2x, John Sheehan 2x, Juan Camilo Trespalacios, Joe Abruzzo
Collaboration
· Direct involvement in multiple projects continues to refine my knowledge of DPB systems. Pursuit of my KYC focus into specific areas and working with many different departments has helped improve my communication skills. Being a team player who understands that the success of every project has a direct link to all types of risk.
Conclusion
· In 2016 I have strived to be the most value added employee, making choices to focus on maintaining pace, intensity, and representing HSBC’s mission and vision in everything I do. A highlight of the year is the ability to adapt to any process and accomplish multiple initiatives, coordinate with different departments, all while maintaining my day-to-day goals. This balanced approach has helped me with task-diversity, efficiency and productivity.
2016 YEAR END REVIEW REPLY FROM MY MANAGER
Rating: Strong Performer -
Delivers against performance objectives and exceeds on some
Performance often exceeds role expectations
Recognized by others as providing valued, constructive input and high quality, well-balanced results on a relative basis
Comments (3788 Characters): Vito had a strong and productive 2016, initially serving as a KYC Analyst, and then transitioning to the CLM Advisory team with focus on Quality Assurance.
Vito has exhibited growth throughout 2016. He has been able to effectively manage multiple initiatives simultaneously, and further developed subject matter expertise in the Periodic Review and CDD space. He maintains strong relationships in multiple areas of the business.
He has demonstrated leadership skills in his ability to train junior members of the KYC Analyst team as well as lead junior members of the KYC Analyst team in managing PEDR workload for the RM team he supported.
He has exhibited dedication to this business, always working above and beyond to provide a high quality of work and meet deadlines. He can accomplish goals independently, as well as direct junior members of the team.
Within the responsibilities Vito has managed, he has met all expected milestones, managed resources effectively and serves as an escalation point on our team with respect to Periodic Review and CDD requirements.
In 2017, Vito’s development plan will include the following:
- Leverage senior leaders to develop Technology skills
- Develop Global / Senior Management communication skills
- Evaluate the value of initiatives and delegate as appropriate
2017 YEAR END REVIEW TO MY MANAGER
My achievements against my day role and how I also achieve my objectives is by always thinking positive. This year has been one my most challenging and most role diverse in my tenure at HSBC. My ability to make solid principle decisions using the information I have acquired and referencing information that guides us at HSBC. A key factor to how I make my decisions is always based a checklist of questions I ask myself. How will this help the business become better? What is the impact to the client? What is the level of risk? Do I need to get the opinion of a SME to make an educated decision? I have found that asking myself this series of questions ensures a common sense approach to any issue presented. I always try to lead by example, be dependable, and exceed expectations when delivering on duties. And ensure my team is in the best position to be educated and successful.
When it comes to Risk Management and Compliance, understanding multiple perspectives and how to anticipate global or local changes in our BAU is very important to me. This year I have had the honor in helping the business drive decisions and identify gaps in our current processes. Given the opportunity to proactively anticipate any new risks due to the implication of Appway a global onboarding tool is one of my highlights of 2017. I have learned many new skills in the art of escalation and how to connect with the appropriate subject matter experts.
Accountability is a word that feel is at the core of my personal brand. Taking personal responsibility for the decisions I make as a team member of CLM Advisory is not taken lightly. As a person on one of the most influential teams in Private Banking, how I act and setting a strong standard for others is vital to the business success. During the Advisory weekly meetings I always attempt to identify the root cause of any issues brought to the table and share previous quality assurance findings to be included in the common errors section or this don’t make sense portions of the CLM Team weekly meeting.
I have had multiple conversations with colleagues teaching them how life is hard but always perform at your best. Being responsible and sustainable will ensure a long and prosperous road. Explaining the culture at HSBC and how fast the future can change here is always a reason to stay focused and pay attention. In my current role I continually seeks ways to improve effectiveness and learn how to decrease the difficulty’s the Business faces on a daily basis.
This year I have had to alter my approach on how to communicate, working with people from different countries and backgrounds is challenging, but making them understand my perspective is vital to my day to day. Collaboration and teamwork is the only way I was able to accomplish so much this year. Ivan Lin has taken me under his wing and taught me about a world that is complex and bursting with policies and procedures. I have learned to operate out of my comfort zone to ensure I put myself and teammates in the best position to learn and teach others what we know. I have embraced change by listing to feedback, and learning quick and easy ways to focus on the short term and long term goals simultaneously.
Some of my main achievements this year are: RAS1 implementation, Quality Assurance SME, Training Analyst in Buffalo, Appway Super Duper User, Created CRM Training Decks Sprints 3-11, Created Recorded WebEx CRM Trainings Sprints 8 – 11, Inspected all user stories for CRM sprints 6 -11, Inspected all user stories for Wave 1.5,2 and 3, Test CRM UAT and Production, Test Appway UAT and Production, Attend the Appway Steering Committee, Publically recognized by Michael Connolly to Stephen Wann regarding recorded usability sessions, Personal tour of CRM to Michael Connolly and team, HNAH NBFI Customer Type Tab, Tending to everyone’s queries in a professional and timely manner.
2017 YEAR END REVIEW REPLY FROM MY MANAGER - Pending
Description
