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Client Services KYC Analyst (Contract Position)
Summary
The Client Services KYC Analyst is responsible for the end-to-end management of onboarding new customers and conducting periodic and event-driven Know Your Client ( “ KYC ” ) reviews for existing customers. This includes all administrative activities related to the KYC process including conducting outreach to the customer to gather onboarding and regulatory documentation, execution of KYC review, 4-eye checks of the KYC (i.e. pre-approval secondary review of KYC files), validation of tax documentation, and ensuring all the required approvals have been completed. This position is also accountable for providing back up support to the US Client Service team.
Reports to: Director
Direct reports: None
Job Responsibilities
Client Onboarding Responsibilities
- End-to-end management of onboarding new customers and conducting periodic and event-driven KYC reviews for existing customers
- Liaise with the Front Office and the client to collect all required KYC and Regulatory documentation
- Prioritize onboarding based on trading/funding deadlines
- Maintain Canadian Onboarding metrics and KRIs
- Liaise with Compliance for monthly review of exceptions found on new accounts onboarding
- Attend weekly Compliance KYC Forum
- Assist in Regulator and Internal Audit inquiries
- Recommend and assist in requirements for system efficiencies
- Assist with User Acceptance Testing for Fenergo system upgrades
- Liaise with other internal groups such as Compliance, Tax and Operations.
Requirements
- 5+ years of KYC or AML related working experience
- University or College degree
- Strong organizational skills including the ability to multi-task and manage deadlines effectively
- Good communication and collaboration skills
- Effective attention to detail and a high degree of accuracy
- High level of integrity, confidentially, and accountability
- Strong work ethic and positive team attitude
- Canadian Regulatory KYC Knowledge, specifically the Proceeds of Crime (Money Laundering), Terrorist Financing Act and FINTRAC requirements and Canadian Sanctions.
- Fenergo KYC Onboarding platform knowledge is a plus
