The role of KYC Associate is to provide support to the KYC team as part of the AML Group with its assigned responsibilities. The responsibilities include, but are not limited to, the review of New and Existing Account escalations, ongoing screening, and periodic reviews. The associate will conduct Enhanced Due Diligence (EDD) for New Accounts, prospect, and existing clients that exhibit high risk factors in accordance with the Escalation Process of the firm. The associate will review all AML-related items including Know Your Customer forms (KYC), CIP and anticipated account activity in line with Bank Secrecy Act and regulatory requirements (i.e., FinCEN, FINRA, OFAC, etc.). The associate will provide support with the firmwide ongoing screening reviews, identifying any derogatory information/negative news or risks associated to existing clients or associated parties in the accounts. In occasions, as part of the AML Group, the associate may provide support to the surveillance team with reviews of transactional alerts or transaction-related escalations.
Job Responsibilities/Main Functions
Job Requirements (Education, Experience, Knowledge, Capabilities, and Skills)
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