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In-House
Attorney
Finance - Banking
Min 3 yrs required
Client Diligence Management Unit Analyst Duties: Responsible for ensuring compliance with the CIP program for its investment banking, private banking and asset management businesses. Assist in working closely with AML Compliance on new regulations released to improve and educate internal clients. Will 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. Will 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. Will undertake specific due diligence assignments in conjunction with LCD/Regional Oversight as required. Will interact with the front office to ensure that proper account documentation is obtained from the customer prior to account trading. Will advise front office of deficiencies in paperwork submitted and educating front office staff on the Firm’s Client ID obligations. Will provide training on Client ID / KYC / AML to Front office and Operations staff and other Departments. Will work with and provide support to the firm’s international and domestic Anti-Money Laundering groups. Identify and undertake projects to improve the process and application of Client ID procedures, as and when required, utilizing technology where possible.
Qualification and Experience
Qualifications: 3+ 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. Proven 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. Exceptional 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. Advanced degree a plus(Law Degree/Masters). 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. Proven cultural transformation experience in leading change across an organization through influence and collaboration, proven 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: 095036
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