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Years of Experience
Date Last Verified
ProfileClient Diligence Management Unit (CDMU) Vice President Duties: Responsible for ensuring compliance with the Firm’s CIP program for its investment banking, private banking and asset management businesses. Assist in working closely with AML Compliance on New regulations released to enhance and educate internal clients. Verify the identity of prospective new clients across Investment Banking, Private Banking and Asset Management divisions. Verification should be in accordance with local regulatory and policies and procedures. Conduct database searches and evaluating results to ensure that new customers are not subject to OFAC or other global sanctions lists and that the customer and related parties do not present any reputational risk to the Firm. Undertake specific due diligence assignments in conjunction with LCD/Regional Oversight as required, including, Finders/Consultants, Reputation Risk, Politically Exposed Persons (PEPs). Interact with the front office to ensure that proper account documentation is obtained from the customer prior to account trading. Advise front office of deficiencies in paperwork submitted and educating front office staff on the Firm’s Client ID obligations. Work closely with Client ID units in other jurisdictions in order to keep abreast of local regulatory requirements. Provide training on Client ID / KYC / AML to Front office and Operations staff and other Departments as required. Collaborate with and provide support to the firm’s international and domestic Anti-Money Laundering groups. Have the ability to handle multiple functions under tight deadlines with a high degree of accuracy. Identify and undertake projects to improve the process and application of Client ID procedures, utilizing technology.
Qualification and Experience
Qualifications: Advanced degree a plus(Law Degree/Masters). 7+ years AML/KYC experience for a Financial institution with experience of due diligence of Private Banking Clients, Financial Institutions, Non-Bank Financial Institutions, Hedge Funds, Funds, SPVs and major Corporate clients. Validated experience in a highly effective compliance function in a financial services or heavily regulated industry, with public sector experience desired but not critical. Sound knowledge of the wide range, and complex variety, of fund/corporate structures. Extraordinary research and analytical skills with the ability to analyze large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately. Results oriented team player with solid interpersonal and verbal/written communication skills. Spanish language required. Highly motivated, with drive and enthusiasm; Excellent collaboration skills. Ability to work independently and excellent time management. Extensive cultural transformation experience in leading change across an organization through influence and collaboration, validated leadership skills in a collaborative culture. Proficiency in the following systems/software is a plus: Microsoft Office, Lexis Nexis, World Check and various Compliance Related Systems.
Job ID: 086920