Step Action If NO escalation is required, navigate to the Tasks tab in the Legal Entity Management screen and select Complete from the icon to the right of the task. Refresh to bring up the next task Approve for Account Opening this will move the – KYC Tracking Case to the Shared Services Manager’s task queue. The Complete AML task is now complete. Task 6 Complete AML is complete. – 7: Approve for Account Opening Overview Once Task 6 Complete AML has been completed; the next task is Approve for Account – Opening. This is the final task of the KYC AML Process in the KYC Platform. The AML KYC CoE (Shared Services) Manager will review all information and documents that have input into the KYC Tracking Case before providing final approval. The following table lists the steps that AML KYC CoE (Shared Services) Manager needs to perform during Task 7 Approve for Account Opening. – Step Action Navigate to the KYC Platform through the KYC Portal. To review and approve, complete the following: From the Work Queue on the left of the screen, click KYC Tracking Click Review & Approve This will bring up all KYC Tracking Cases that are in – the Review & Approve stage. Click on the ID Link to the left of the correct Case This will bring up the Case – Details screen. The following table lists the steps that AML KYC CoE (Shared Services) Manager needs to perform during Task 7 Approve for Account Opening. – Step Action In the Case Details screen, click the Navigate icon to the right of Approve for Account Opening Task This will bring up the Manager Review screen. – In the Manager Review screen, click the Navigate icon to the right of one of the previously completed tasks This will bring up the Legal Entity Management Screen. –
Step Action If NO escalation is required, navigate to the Tasks tab in the Legal Entity Management screen and select Complete from the icon to the right of the task. Refresh to bring up the next task Approve for Account Opening – this will move the KYC Tracking Case to the Shared Services Manager’s task queue. The Complete AML task is now complete. Task 6 – Complete AML is complete. 7: Approve for Account Opening Overview Once Task 6 – Complete AML has been completed; the next task is Approve for Account Opening. This is the final task of the KYC AML Process in the KYC Platform. The AML KYC CoE (Shared Services) Manager will review all information and documents that have input into the KYC Tracking Case before providing final approval. The following table lists the steps that AML KYC CoE (Shared Services) Manager needs to perform during Task 7 – Approve for Account Opening. Step Action Navigate to the KYC Platform through the KYC Portal. To review and approve, complete the following: From the Work Queue on the left of the screen, click KYC Tracking Click Review & Approve – This will bring up all KYC Tracking Cases that are in the Review & Approve stage. Click on the ID Link to the left of the correct Case – This will bring up the Case Details screen. The following table lists the steps that AML KYC CoE (Shared Services) Manager needs to perform during Task 7 – Approve for Account Opening. Step Action In the Case Details screen, click the Navigate icon to the right of Approve for Account Opening Task – This will bring up the Manager Review screen. In the Manager Review screen, click the Navigate icon to the right of one of the previously completed tasks – This will bring up the Legal Entity Management Screen.
StateStreet_KYC%20Platform_Participant%20Guide_V2.4_10-Mar-2015.docx