Wednesday, August 28, 2013

KYC Analyst - Capital Markets (Dodd-Frank)

Our client, a top global Corporate Banking firm, is seeking a KYC Analyst to join their Capital Markets business in support of Dodd-Frank regulations.

Position Responsibilities:

  • Review data quality and maintain database, spreadsheets and reports related to KYC procedures and Dodd-Frank

  • Learn and understand the specific requirements for certain risk levels in reference to types of products, type of company and the jurisdiction so as to be able to act as backup for approvals in case manager is out

  • Perform pre-trade due diligence procedures such as, but not limited to, background and negative news searches and risk rating assessment, among others

  • Gather, chase and communicate with respective counterparties regarding post-trade KYC requirements

  • Review and maintain a high volume of KYC/AML cases at various stages to ensure that counterparties ultimately qualify as AML compliant

  • Upload documents to the firm's KYC documentation database

  • Verify the CIP information through documents and non-documentary methods

  • Participate in various KYC projects, including but not limited to projects related to FATCA, Dodd Frank, and annual review of cases

Position Requirements:

  • Bachelor’s Degree preferred

  • 2 years of experience with KYC - new account opening process

  • Knowledge of Dodd Frank preferred

  • Proficiency with MS Excel

  • Ability to multi-task and work efficiently

  • Ability to work and communicate well with others and be able to handle pressure/stress

Base salary to $60K

All resumes must be submitted directly to Please include accurate salary history and a daytime phone number.

Mike Elsman

908-219-4227 - direct

News Source


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