Lake Mary, Florida | Contract
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