KYC Client On-boarding Specialist (Risk)

Location: New York, NY
Date Posted: 08-15-2018
KYC Client On-boarding
Location: NY, NY
Duration: End of Year with possibility of extension

Day-to-Day Responsibilities:
  • Manage projects associated with Client Onboarding
  • Be a point person for onboarding related queries from team
  • Maintain a working knowledge of regulatory policies required to onboard clients including KYC, French Banking Law, Dodd-Frank, Volker, FATCA, etc
  • Challenge existing policies when they do not align with market standards
  • Maintain good working relationship with the business lines
  • Meeting regularly (weekly/bi-weekly) with business lines as well as global counterparts
Technical Skills:
  • Familiarity with the principles of risk based KYC, client risk assessment and the products used in a wholesale banking and institutional broker dealer business
  • Microsoft Office, Word, Excel, PowerPoint
  • Strong interpersonal and written and verbal communication skills;
  • Strong problem solving and organizational skills, ability to prioritize and multitask.
  • Proactive;
  • Ability to work in a dynamic, deadline-focused environment;
  • Team player;
  • Ability to partner with all infrastructure teams (Compliance, Credit, legal, KYC) and business lines
  • Strong time management skills and the ability to work well under pressure
  • An inquisitive nature and ability to spot issues, and address conflicts and escalate issues where appropriate
  • Ability to work independently and use judgment to assure all issues and concerns are managed properly and timely
Experience Needed:
  • Roughly 5+ years of KYC Client On-boarding experience
Desired / Plus:
  • Series 99
  • Series 7 or equivalent
Languages: (Other than English)
Desired / Plus:
  • Spanish
  • French
Department Summary:
The Operations Department (“OPER”) handles the middle and back office functions for all Global Banking and Investor Solutions (“GBIS”) business lines (Markets & Financing) and International Private Banking. OPER implements all necessary means to ensure the operational, administrative and financial processing market and credit operations initiated by business lines.  In addition, OPER ensures the control and security of transaction processing in accordance with current financial legislations.
OPER, which operates within GBIS, is responsible for the following at worldwide level:
  • Making available all the resources required for the administrative and financial processing of market and credit operations initiated by the various Business Lines
  • Performing level one auditing in accordance with regulatory requirements, and setting up all the facilities required for secure processing of transactions,
  • Managing operational risks
  • Participating in drawing up economic and accounting results for SG Coverage and Investment Banking & International Private Banking operations
Client’s Client Onboarding team (OPER/COR) is responsible for implementing and assuring consisting application of Client’s local and global KYC Policies and procedures, FATCA and any other regulatory requirements associated with on-boarding a new client.  Specifically the OPER/COR department is charged with reviewing all new client requests and determining the required documentation to fulfill regulatory and Client’s requirements.  

Thank you,
Doreen Daly
Sr. Recruiter
Frontier Systems Consulting, Inc.
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