This job has expired, please see additional jobs below
Periodic Review Analyst
Sumitomo Mitsui Financial Group
New York, NY, United States
Job Details - this job has expired, please see similar jobs below
Overview
Reporting to the Manager of the Data Management and Analytics Group (DMG), the Periodic Review Analyst will be primarily responsible for conducting background screenings and handle periodic review of customer information and documentation.
Particularly, the Periodic Review Analyst will gather information forwarded to the Client Onboarding Team by the Front Office, review data and documents already within the organization, retrieve additional information from third-party tools/databases and other various sources, update / remediate existing customer profiles.
Responsibilities
The job responsibilities are described herein:
1. Engage internal stakeholders to facilitate the Periodic Review of customer information / documentation. Particularly, ensure that periodic review cases are processed and completed within the expected timeframe.
2. Coordinate approvals related to periodic review across multiple functions / units such as Front Office, Compliance, AML, Middle Office, Operations, Legal and Tax, all in a high pressure / time-sensitive environment.
3. Review corporate documentation, tax forms and other paperwork/information for completeness and accuracy. Validate and enter the relevant information and documentation in the dedicated systems.
4. Participate in testing of new releases/upgrades of current systems.
Qualifications
1. Solid knowledge of US PATRIOT Act, BSA / AML requirements (e.g. CIP requirements; difference between CDD and EDD).
2. Strong understanding of FinCEN CDD Rule, FINRA Rules and FATCA.
3. High competency in using external due diligence and screening tools such as Dow Jones, Factiva, OneSource, LexisNexis.
4. Experience / appreciation for due diligence operations and onboarding applications / systems.
5. Ability to face-off any potential touch-point relative to the onboarding / client maintenance workflow.
6. Ability to execute in a high pressure environment.
7. Good analytical skills, detail oriented.
8. Good interpersonal skills.
Work Experience: From 2 to 3 years of specialized experience in Onboarding of Institutional Accounts (e.g. Investment Managers, Funds, Large Corporation, Brokers).
Education:
BA / BS (or equivalent)
Licenses / Certifications / Registrations:
CAMS is plus
Software Systems / Programming Languages:
Microsoft Office (Word, Advanced Excel Formulas, Power Point). Basic knowledge of SQL is a plus