Job description

Role: KYC/AML Client Onboarding Specialist

Duration :- 6 Months (Contract to hire)

Location :- NY 10017,Remote

*Training will be onsite (4 days in office)

Skills:

3-5 Years of total exp needed.

Candidate must have some broker dealing experience.

• Receive new account request from salespersons and work directly with clients
• Screen customers against the OFAC SDN and other sanctions lists utilizing WorldCheck One and escalate screening results to AML Officer
• Coordination will be required between internal team such as: AML Officer, Compliance Officer, FinOps, Legal, Sales & Trading Desk Supervisors, Risk and Operations
• Perform research on various regulatory sites for client information/verification as outlined in our policies and procedures
• Work with trade level documentation such as Options Agreements, QIB Certifications, Electronic Trading Agreements, etc.
• Review current client files for completeness as outlined in our policies and procedures
• For Sales & Trading, utilize Pershing’s NetX360 to open client allocation accounts
• Facilitate Request for Information (RFI) from outside Business Partners and clients
• Perform suitability checks on prospect Investment Banking Investors as part of Confidential Marketing process
• Willingness to learn new technology to fulfill onboarding and FinCEN requirements using proprietary technology
• Coordinate internal approvals and sign-off on various account setups
• Assist with Customer Identification Program in Investment Banking Division and some weekend support will be required
• Ad hoc projects as needed

Skills & experience required:

• Bachelor’s degree or equivalent in experience
• Have familiarity with Bank Secrecy Act, Anti-Money Laundering, Know-Your-Customer, FinCEN and Broker-Dealer Rules and Regulations
• Prior experience working in financial services preferred
• Prior experience working in documentation preferred
• Demonstrated ability to prioritize and handle multiple projects and assignments
• Ability to work across products when competing priorities arise using effective time management, problem solving, and collaboration
• Organized, detail oriented and extremely thorough; ensure work processes are completed accurately and appropriately
• Ability to display a consistent and professional degree of communication; ability to clearly articulate problem situations
• Team player with a positive attitude
• Ability to anticipate needs and initiate action; ability to operate independently yet know when to raise issues to manager
• Ability to review and analyze customer documentation and initiate follow up actions
• Proficiency in Microsoft Suite with working knowledge of Excel
• Familiarity with: Pershing NetX360, Broadridge Impact, Thompson Reuters WorldCheck One, LexisNexis and DocuSign
• Team player and focus on collaboration
• Ability to adapt to changing situations with ease

Job Type: Full-time

Salary: $35.00 - $40.00 per hour

Schedule:

• 8 hour shift

Ability to commute/relocate:

• New York, NY 10017: Reliably commute or planning to relocate before starting work (Required)

Experience:

• KYC: 3 years (Required)
• Anti-money laundering: 4 years (Required)
• Client on-boarding: 3 years (Required)

Work Location: One location

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