KYC Analyst

Pittsburgh, Pennsylvania | Contract

Post Date: 09/22/2017 Job ID: 15187 Industry: ACCOUNTING/FINANCE

KYC Analyst / Know Your Customer Analyst
(downtown Pittsburgh)

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.

Essential Functions

  • 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.
Requirements
  • 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

 



 

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