Pittsburgh, Pennsylvania | Contract
KYC Analyst / Know Your Customer Analyst
Currently have an opening with our client in downtown Pittsburgh, PA for a KYC Analyst.
This role 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.
- 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; and Liaise with Compliance and Legal departments and senior management.
- Bachelor's Degree preferred, but not required
- 5-7 years of experience in brokerage, accounting, or fraud
- 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; and Strong work ethic.
- Excellent organizational, written and verbal communication skills
- Strong customer-service orientation
KYC Analyst / Know Your Customer Analyst - 15187