Know Your KYC
QA Corner
Do the Due Dilligence
Chris Matthews WILL Pick You
Stop trying to make central jersey a thing
Expecto Patronum!
100
This U.S. agency enforces AML/KYC compliance
FinCEN - US Dept of the Treasury's Financial Crimes Enforcement Network
100
Use this system to rebut or accept your case defects
AKRIT
100
An extension of the annual report, this list of subsidiaries implies full ownership by a publicly-listed parent
Exhibit 21
100
This is the appropriate field to capture your controlling party's maiden name
FKA - Formerly Known As
100
Make your coffee before 10am on Fridays, otherwise you will miss the details discussed during this important meeting
JAM CALL
100
These folks are likely to stand up for the little guy, challenge authority, act first then think later, and is known as class clown!
Gryffindor
200
Check this platform daily to ensure you meet all your Milestones
Tableau
200
A disregarded entity whose regarded EIN belongs to a foreign entity is required to have this form approved in GDS
W8
200
Make sure this important piece from your SOS screenshot is captured in this closely-monitored field
Identity Verification Date/MOV Date
200
Edit you related parties in this stage to minimize AWARE errors
Due Diligence
200
A bubbly and helpful teammate, this all-star is also notorious for double and triple mute on calls
Maria
200
If you're in this house, you are the type of person who analyses everything, is an overachiever, is not afraid to be an individual and has a head stuffed full of interesting facts!
Ravenclaw
300
Use this platform to verify whether clients have active accounts
Satellite
300
You got a defect - what population tag must you use to fix your case?
REMI M&I or REMI Other
300
Skip the Tech Ticket - Make sure your case is in this status before launching digital KYC
With Sales for Docs
300
Use this approved option in Lexis Nexis to search for Non-U.S. Businesses
D&B WorldBase
300
With the bank since 2007, this person oversees Global Commercial Banking, & is Vice Chair of Bank of America’s Global Opportunity & Inclusion Council
Wendy Stewart
300
They are ambitious, destined for greatness, one step ahead, have a dark sense of humor, thinks reputation is important, takes pride in their appearance and doesn’t let anyone see their soft side
Slytherin
400
This is the deeper level of review required for HIGHER-risk clients
Enhanced Due Diligence (ECDD)
400
Mandatory for Onboarding and Reengagements, this disclosure can be found on the latest version of the USBO form
DPN- Data Privacy Notice
400
This entity type acts as an intermediary between two other parties to fulfill a collection/payment function, obtaining funds from one party to transfer to another
TPPP - Third Party Payment Processor
400
Remediate it! A 16 digit alphanumeric code needs to be confirmed with all Legal Representatives and Beneficial Owners of an entity registered in this country
Italy
400
A northern NJ and NYC staple, this food item is known by its manufacturer & not by its ingredients
Taylor Ham/Pork Roll
400
These folks have a strong moral compass, always work hard, are the most loyal friend, & always have the best snacks!
Hufflepuff
500
Any suspicious activity should be reported through this system
TRMS - The Referral Management System
500
Rather than filing its own separate registration, this controller registers under the filing adviser's single umbrella Form ADV filing
Relying Adviser
500
Commonly found in Europe, this illegal equity security is asked about for US holding companies
500
In accordance with Global Financial Crimes (GFC) requirements, this document must be completed for all applicable credit institutions and financial institutions within EMEA
AML Questionnaire
500
Nicknamed 'The Gate City', this historical southern town was once a key transportation center and a gateway for travel and trade
Greensboro, NC
500
Potions master & iconic house leader of Slytherin Severus Snape was a major character in the Harry Potter movie series, and was played by this classically-trained actor.
Alan Rickman