KYC Analyst

Lake Mary, Florida | Contract

Post Date: 08/29/2017 Job ID: 15072 Industry: ACCOUNTING/FINANCE

KYC Analyst
Lake Mary, FL

This is an opening with our financial client located in Lake Mary, FL for a KYC (Know Your Customer) Analyst.

This position provides an excellent opportunity to play an integral role in facilitating compliance with KYC regulations for a global and diverse client base that includes domestic and international Introducing Firms, Registered Investment Advisors, hedge funds and other financial institutions.

Responsibilities of the KYC Analyst

  • Interface with relationship teams from across the enterprise to verify that KYC information for their clients is current and complete.

  • Implement a risk based periodic KYC review schedule;

  • Track and escalate incomplete KYC reviews;

  • Test KYC files for to make sure they are current and complete;

  • Ensure that KYC files are in compliance with company policy;

  • Assist with firm-wide project to develop online centralized document storage;

  • Assist with firm-wide initiative to migrate KYC files to a new online platform;

  • Provide training and education to business unit;

  • Liaise with Compliance and Legal departments and senior management.

Requirements of the KYC Analyst

  • Bachelor’s Degree preferred
  • 5+ years of experience, preferably within financial services
  • Experience with conducting due diligence/research
  • Compliance/Anti-Money Laundering experience preferred (e.g., KYC, Customer Identification, or Audit experience); Working knowledge of Introducing Broker Dealers and FINRA regulations;
  • Working knowledge of Registered Investment Advisors, the Investment Company Act of 1940 and SEC Investment Advisor disclosure requirements;
  • Working knowledge of non-U.S.-securities regulations (e.g., the Financial Services Authority);
  • Excellent project management, interpersonal and analytical skills;
  • Detail-oriented with the ability to work under pressure and within tight deadlines;
  • Ability to work independently and in a team environment;
  • Strong work ethic.



KYC Analyst - 15072

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