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Years of Experience
Date Last Verified
Know Your Customer, QC Sr. Specialist The candidate will be responsible for completing Client Identification and Customer Due Diligence files for new and existing customers and maintenance of customer data in support of Front Office business lines. Process includes performing KYC research and related OFAC checks, compliance exemption requests, quality control and other departmental projects/assignments. Must track onboarding and re-assessment pipeline and manage assignments. Are members of the Data Assurance Department (DAD), and work closely with Relationship Managers (RMâ€™s) and Portfolio Managers (PMâ€™s), with Tax Operations, Regulatory Reporting teams, with Compliance Division Officers, and with other operation teams. Responsible for meeting Service Level Agreements (SLA) with various Business Units and for utilizing departmental tracking systems. Responsible for following established guidelines and identifying and resolving problems. Expected to use some independence of thought but to refer more complex problems to supervisors or other experts. Sr. Specialists are expected to contribute to work flow or process change and redesign, and to form a strong basic understanding of the customer on-boarding, KYC, and maintenance. Role may also be accountable for regular reporting or process administration as owner. Responsibilities: Perform onboarding activity and provide Subject Matter Expertise on AML/KYC, perform reviews of AML/KYC activities; Coordinate directly with other areas of the bank clients to obtain relevant KYC requirements. (i.e. Risk, Compliance, Legal, Business, Operations, Front Office); Promptly respond to queries and assist with problem-solving of matters received from personnel internal to the Bank; Evaluate end-to-end process to assist in setting strategies and practices to develop culture of high degree of accuracy and productivity; Maintain detailed tracking of KYC file status and other customer record activities to ensure completion within required time frames; Ensure desktop procedures are accurate and comply with regulatory requirements by pointing out any discrepancies identified; Assist in developing new processes and necessary manuals; Perform root cause analysis and offer solutions and best practices. Identify data quality issues and monitor resolution; Participate in projects and any other specials tasks assigned.
Qualification and Experience
The candidate should have 3 years of experience in general or Financial Crimes compliance or a JD degree. General understanding of BSA/AML/OFAC/SAR regulations. Excellent attention to detail, organized approach and strong problem solving/facilitation abilities. Mature approach with excellent influential communication (verbal/written) skills. Effective Internet and research skills and usage of third party tools such as Dun Bradstreet, LexisNexis, government registries, etc. Proficiency in MS Office - Word, Excel, PowerPoint, Access. Second language is highly preferred (Spanish/Portuguese/Japanese).
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