KYC Analyst Resume Samples

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BG
B Gleason
Buck
Gleason
88130 Gino Manor
Detroit
MI
+1 (555) 978 8827
88130 Gino Manor
Detroit
MI
Phone
p +1 (555) 978 8827
Experience Experience
03/2016 present
Los Angeles, CA
Senior KYC Analyst
Los Angeles, CA
Senior KYC Analyst
03/2016 present
Los Angeles, CA
Senior KYC Analyst
03/2016 present
  • Perform independent check of KYC information provided by front office
  • Very proactive approach to process improvement, actively seeks opportunities for change that benefit the wider team
  • Contributing ideas and participating in efforts to further improve and streamline the process
  • Perform Periodic KYC reviews on risk based schedule 
  • Stakeholder management of key clients
  • Liaison with Compliance Department and the senior management within Business units supported
  • End to end management of client KYC process including liaison across the business, compliance and operations
11/2011 12/2015
Phoenix, AZ
AML / KYC Analyst
Phoenix, AZ
AML / KYC Analyst
11/2011 12/2015
Phoenix, AZ
AML / KYC Analyst
11/2011 12/2015
  • One of the key responsibilities will be coordination and collection of client specific information and completion of documentation to assist in the on-boarding of new clients
  • And another important responsibility will be performing ongoing customer due diligence including maintenance and updating of AML and KYC records and information for existing clients
  • Furthermore, this role will identify and escalate any suspicious or unusual matters to AML & Line of Business Compliance for further investigation
  • You will also promote and sustain strong engagement and mutually beneficial relationships with key internal business stakeholders
  • Excellence in oral and written communication in both Mandarin and English with proven strength for personal engagement
  • Liaise with internal and external clients ensuring compliance
  • On boarding of clients
11/2005 05/2011
Dallas, TX
KYC Analyst
Dallas, TX
KYC Analyst
11/2005 05/2011
Dallas, TX
KYC Analyst
11/2005 05/2011
  • Work with Management to implement process improvements (coach and training staff) that are developed
  • Work with Management to implement process improvements that are developed
  • Checking and providing approval of work conducted by junior team members
  • Performs independent check of KYC information provided by front office
  • Liaise with internal/external stakeholders to provide exception management reporting & MIS
  • Assist in the development and implementation of a centralised KYC/AML ownership protocol; and,
  • Develop strong working relationships with the RMs
Education Education
Bachelor’s Degree in Finance
Bachelor’s Degree in Finance
University of California, San Diego
Bachelor’s Degree in Finance
Skills Skills
  • Strong organisational skills with excellent attention to detail
  • Proficient and knowledgeable on all relevant documentation associated with AML and CIP policies and procedures
  • Attention to detail with strong follow-up and good judgment
  • Good knowledge of MS Office Suite, including proficiency in Excel
  • Strong organization skills with an excellent attention to detail
  • Good academic qualifications would be desirable, but less relevant than a strong track record in AML / KYC and / or operational reference data
  • Strong organizational skills with excellent attention to detail
  • EDD knowledge - The ability to screen for PEP's, Sanctions, Adverse Media and ABC across a variety of systems
  • Organised with an excellent attention to detail
  • Ability to focus on high quality work while under pressure
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1

KYC Analyst Resume Examples & Samples

  • Work experience within the investment management/ financial service/ auditing/compliance/ consulting industry
  • Excellent team player – keen to support others and be part of a team jointly achieving goals
  • Exceptional communication; fluent in English, Mandarin will be a major plus
  • Outstanding analytical skills with the ability to understand business functions and processes swiftly
  • Ability to be flexible, follow tight deadlines, organize and prioritize work and deliver results quickly
  • Motivated self starter with the ability to work independently within a team
  • Candidate with moreexperiencecan be considered for Associate
2

KYC Analyst Resume Examples & Samples

  • Complete KYC on boarding for new and pre-exiting customer (KYC Refresh) by
  • Strong work ethic & attention to detail
  • Proficient time management and organizational skills
  • Prior Experience in with KYC documentation
  • Minimum 3-5 years relevant work experience in AML/KYC on boarding
3

KYC Analyst Resume Examples & Samples

  • Lead special projects to resolve issues around high volume and/or high risk KYC (Know Your Customer) populations
  • Become an expert in Citi’s KYC policies /standards and how they impact our view of a client’s business
  • Serve as an internal and external relationship contact on all KYC related matters for high complexity clients
  • Act as a primary liaison with the client, research analysts, coverage team, the BSU and Compliance to ensure timely completion of client due diligence
  • Work with clients and internal partners to obtain all necessary support documentation to ensure completion of KYC records for complex client types in complex regulatory environments
  • A proven track record with 7 years of relevant work experience
  • Strong Client facing and Relationship/Account Management experience
  • Strong organizational, analytical, verbal and written communication skills
  • Exposure to working with cross-functional organization including; Global Corporate Bank, Client Management, Compliance and Technology
4

Junior KYC Analyst Resume Examples & Samples

  • Confirming/verifying changes to client data
  • Correctly performing background checks and negative news searches
  • Identify red flag situations and escalating in line with policy and procedures
  • Ensuring appropriate and confidential handling/sharing of sensitive information
5

Senior KYC Analyst Resume Examples & Samples

  • Determining/confirming KYC data and collecting relevant information in line with regulators requirement
  • Identify red flag situations and escalate in line with policy and procedures
  • Ensuring appropriate and confidential handling / sharing of sensitive information
  • Contributing ideas and participating in efforts to further improve and streamline the process
6

KYC Analyst Resume Examples & Samples

  • Strong knowledge of related regulations; remain current with regulatory laws, rules and guidance
  • Strong expertise and subject matter in AML
  • Minimum 3-5 years relevant work experience in AML / KYC on boarding
7

KYC Analyst Resume Examples & Samples

  • Complete KYC on boarding for new and pre-exiting customer (KYC Refresh) by reviewing client documentation, vendor databases, and data entered into proprietary systems
  • Ensure that information obtained is consistent with BSA/AML Policy and Procedures and satisfies regulatory requirements
  • Assist with Quality review to ensure that information obtained is consistent with BSA/AML Policy and Procedures and satisfies regulatory requirements
  • Assist in management, maintenance, and review of appropriate CIP documentation/client files
  • Escalate high risk and out of order records to AML Operations Manager
  • Assist in the administration and review of Client Risk Scoring, Client Identification and KYC documentation oversight/management requirements
  • Work with Management to implement process improvements (coach and training staff) that are developed
  • Assist in the collecting of required information and statistical data to perform statistical and trend analysis (Area MIS reports)
  • Providing assistance to other Area Managers as needed
  • Develop knowledge of AML/BSA related regulations; remain current with regulatory laws, rules and guidance. Participate in related industry seminars and training
8

KYC Analyst Resume Examples & Samples

  • Develop strong working relationships with the RMs
  • Provide feedback to RMs on changes/updates to CADDs
  • Understand compliance defined standards for applicable client types and any country specific requirements
  • Perform comprehensive review of CADDs as per defined policies, requirements and process steps
  • As a country coordinator, liaise with Local Compliance to identify new local requirements or changes in local requirements
  • Help identify process improvements
  • Maintain visibility of CADDs through end to end process
  • Manage CADD status updates and rejection reasons if any through tracking tool
  • Escalate CADDs to TLs as per the expediter process when there is delay in response from RMs – submission and action on rejected CADDs
  • Help identify training areas for RM/ RM Support
  • Organize periodic trainings for RMs/RM Support to help improve CADD making quality (incl. on major rejection reasons)
9

KYC Analyst Resume Examples & Samples

  • As a country coordinator, liaise with local compliance to identify new local requirements or changes in local requirements
  • Maintain visibility of CADDs through end-to-end process
  • Manage CADD status updates and rejection reasons, if any through tracking tool
  • Escalate CADDs to TLs as per the expediter process when there is a delay in response from RMs - submission and action on rejected CADDs
  • Help identify training areas for RM/RM Support
  • Organize periodic trainings for RMs/RM Support to help improve CADD making quality (inlcuding major rejection reasons)
10

KYC Analyst Resume Examples & Samples

  • An assessment of the Client’s net worth, for example: In relation to the scale and profitability of the client’s business(es)/investments, and in the context of the country and time period in question: Is the net worth supported by the source of wealth information presented and does the totality of the information make sense when taken altogether?
  • Identify documentary and KYC issues and follow-up with the Banker to clear shortcomings as appropriate, prior to quality acceptance
  • Ability to work accurately with strong attention to detail
11

KYC Analyst Resume Examples & Samples

  • Communication directly with sales and client to obtain KYCS documentation or validation
  • Ensure proper KYCs controls are applied
  • The post holder will be responsible for the smooth running of the process including: Control of review population, Implementation of any change in static data, and Resolution of any matters arising from the review
  • Excellent analytical, organizational and interpersonal skills
  • Bachelor’s Degree and strong academics
  • Fluent English and effective communication with Clients (verbal & written)
  • Highly motivated, willing to work in both team and independent situations depending on current workload
  • Previous KYC/AML Experience a plus
  • Proficient in strategic analysis; ability to conduct complex analysis under tight timelines
  • Previous quality assurance experience a plus
  • Pervious Data management and Reference data knowledge a plus
  • Knowledge of the operation and/or control environment at Credit Suisse preferred
  • Familiarity with the Investment Banking business will be an added advantage
12

KYC Analyst Resume Examples & Samples

  • 1+ years of Federal Anti Money Laundering and Sanctions Regulations experience
  • 1+ years AML/KYC industry experience
  • 1+ years Microsoft Office
13

KYC Analyst Resume Examples & Samples

  • The ability to problem solve with minimal supervision
  • Highly organized and efficient at multi-tasking
  • Ability to work in a dynamic environment with changing priorities
  • 1-3 years of experience in Financial Services
14

KYC Analyst Resume Examples & Samples

  • Good degree
  • Experience of researching KYC sources including Dun and Bradstreet, Companies House, and others
  • Basic legal knowledge in terms of corporate law and structure
  • Experience applying regulatory requirements such as Dodd Frank, EMIR, MiFID FATCA, etc
  • Experience working in an Investment Bank managing internal or external stakeholders, particularly clients and front-office sales
  • AML/KYC experience gained within Investment Banking
  • Good knowledge of FCA or other regulatory classification rules
  • Industrious, intelligent, confident person who enjoys multi-tasking and is not phased by large workload
  • Customer focused role (internal customers therefore good communicator essential
  • Enthusiastic, cheerful team player
  • Highly motivated, proactive and calm under pressure
15

KYC Analyst Resume Examples & Samples

  • Collect and document any relevant data
  • Fully document all alerts in a timely manner
  • 2+ years of Know Your Customer or Anti Money Laundering experience
  • Adept at multi-tasking and meeting deadlines, while working under minimum supervision
  • Exceptional research and analytical skills with the ability to analyse large amounts of data
16

AML / KYC Analyst Resume Examples & Samples

  • One of the key responsibilities will be coordination and collection of client specific information and completion of documentation to assist in the on-boarding of new clients
  • And another important responsibility will be performing ongoing customer due diligence including maintenance and updating of AML and KYC records and information for existing clients
  • Furthermore, this role will identify and escalate any suspicious or unusual matters to AML & Line of Business Compliance for further investigation
  • You will also promote and sustain strong engagement and mutually beneficial relationships with key internal business stakeholders
17

Junior KYC Analyst Resume Examples & Samples

  • Verifying KYC data and collecting relevant information
  • Identifying red flag situations
  • Classifying clients from a risk and regulatory perspective
18

Cfd Kyc Analyst Resume Examples & Samples

  • Strong skills in MS Excel, MS Word, Lotus Notes for Data Management and Project Planning
  • Detailed oriented, with the ability to manage multiple tasks while maximizing quality of service
  • Excellent written and verbal communication, interpersonal, technical and problem solving skills
  • Prior experience with AML/KYC on boarding preferred but not required
  • Prior experience in financial services industry preferred
19

KYC Analyst Resume Examples & Samples

  • 2+ years of experience in undertaking FATCA / AML / KYC reviews within a Financial Institution
  • Working knowledge of AML, Regulatory Compliance and controls within the Banking and Financial Services industry
  • Ability to create and maintain good relationships across a global line of business
20

KYC Analyst Resume Examples & Samples

  • Ensure that information obtained is consistent with Policies and Procedures and satisfies local and Enterprise regulatory requirements
  • Assist with Quality review to ensure that information obtained is consistent with Policies and Procedures and satisfies local and Enterprise regulatory requirements
  • Assist in the administration and review of Client Risk Scoring, Client Identification and KYC documentation oversight / management requirements
  • Work with Management to implement process improvements that are developed
  • Assist in the collecting of required information and statistical data to perform statistical and trend analysis (MIS reports)
  • Participate in related industry seminars and training as needed
  • Working knowledge of global KYC requirements with the ability to assist with KYC requests
21

KYC Analyst Resume Examples & Samples

  • 2-6 years of relevant work experience
  • Proficient and knowledgeable on all relevant documentation associated with AML and CIP policies and procedures
  • Strong communication skills and ability to share information
  • Ability to work independently of Paris COB in a transversal capacity and to work cooperatively
  • Able to listen to others’ points of view and to clients/partners requests
22

CB KYC Analyst Resume Examples & Samples

  • Produce AML Risk Summaries
  • Work closely with AML Analyst Hub and Client Services units on Additional Information Requests (AIRs)
  • Experience and knowledge of AML and KYC an advantage, particularly in the Correspondent Banking space
  • Professional work experience, preferably in Financial Services
  • Experience working in a global, dynamic environment
  • Knowledge of Citi and Citi KYC systems an advantage
  • Experience with MS Office tools: PowerPoint, Excel and SharePoint
23

KYC Analyst Resume Examples & Samples

  • Ensuring that evidence of each client/customer's identity is collected in accordance with KYC Due Diligence policies ensuring customer files are stored and maintained
  • Able to identify, assess/analyse, report and provide solutions to production, policy and system issues
  • Work independently on end-to-end KYC due diligence processes, providing expert advice to relevant businesses as the sole point of contact for a particular customer
  • Communicate independently and professionally with external customers and internal clients at all levels of seniority
  • Be the single point of contact for Business Unit teams, Compliance and other support functions for Due Diligence activities
  • Interact with senior internal stakeholders and regional/global teams in a variety of locations in APAC and beyond
  • Possess knowledge of various types of trading entities - limited, private and public companies, holding companies, hedge funds, asset managers, special purpose vehicle's, trust's etc
24

Cib Kyc Analyst Resume Examples & Samples

  • 1 + years of demonstrated KYC and regulatory compliance experience
  • Strong quantitative and analytical background
  • Solid PC skills, including knowledge of MS Word, Excel and the Internet for purposes of research
  • Good interpersonal skills, organized and a team-oriented person
  • Fluent in Spanish or Portuguese preferred
25

KYC Analyst Resume Examples & Samples

  • Prepare client-specific KYC-related analyses and complete Customer Acquisition Due Diligence
  • Interact with parent and subsidiary bankers and product sales and service on AML and KYC-related issues
  • Work with Business Support Unit to assess documentation requirements for client legal entities
  • Co-ordinate and manage regular AML Calls
  • Work closely with AML Analyst Hub and Client Services units on Additional Information Requests
  • Review and evaluate recent news related to clients
  • Liaise with internal Compliance personnel on the application of KYC policy
  • Coordinate with account operations on purpose of account requests
  • Extensive years of professional work experience, financial services preferred
  • Experience and knowledge of AML and KYC a strong advantage
  • Ability to work independently with challenges and time pressure
  • Team Player - being able to work in partnership with other individuals on day to day basis
26

Cib-brazil Client On-boarding / Kyc-analyst Resume Examples & Samples

  • Support the business ensuring compliance with KYC, AML, CIP and sponsorship requirements
  • Represent the client on-boarding team in all strategic and program implementations
  • Manage a staff of approx 10 experts supporting the client onboarding and KYC process in Brazil
  • Build and maintain relationships with the business units as well as legal & compliance partners
  • Develop, implement and maintain an on-going robust control framework that meets with all local and corporate KYC/AML and other internal firm policies
  • Develop procedures and controls as necessary to ensure compliance with local regulations and internal/external policies
  • Work with technology partners to ensure systems are able to support the needs of the staff and business
  • Liaise with various groups like Legal, Compliance, Credit and Operations to remove roadblocks impeding the onboarding process
  • Partner across LOB’s and with global onboarding/operations teams to ensure a smooth client experience, consistent operating model and a robust risk & control framework
  • Hire, develop and retain a high performing team
27

Cib-client On-boarding / KYC Analyst Resume Examples & Samples

  • Strong skills related to Personal Relationship
  • English Language – Intermediary, at least
  • Graduated in Administration, Economics or Law
28

KYC Analyst Resume Examples & Samples

  • Experience in operations, compliance or legal teams required
  • Essential system skills: Word, Excel, PowerPoint
  • Understanding of Global Markets and Investment Banking
  • Understanding of corporate structures and entity types
  • University degree required
29

Cib Kyc Analyst Resume Examples & Samples

  • Support Credit Portfolio Management with other administrative duties, as assigned
  • 1 + years of demonstrated KYC and regulatory compliance experience, within financial services preferred
  • Fluent in Spanish is highly preferred
  • Good interpersonal skills, organize and team-oriented person
30

KYC Analyst Resume Examples & Samples

  • 3+ years of experience with Account Opening
  • Working knowledge of AML, Regulatory Compliance and Controls within the Banking and financial services industry
  • Bilingual (English and Spanish)
  • Microsoft Office/Suite proficient (Excel, Word, and Access)
31

AML / KYC Analyst Resume Examples & Samples

  • HS Diploma or equivalent
  • 3-5 years recent relevant experience
  • Prior experience with deadlines for time sensitive projects
  • Prior experience in financial services
  • Prior experience in documentation management Skills and Competencies
  • Strong work ethic & attention to detail
  • Proficient time management and organizational skills
32

KYC Analyst Resume Examples & Samples

  • Identify and correct Know Your Customer (KYC) data issues on applications prior to account origination
  • Research and remediate Customer Identity issues using Public Identity tools, strong judgment, and adherence to operational policy
  • Liaise with AML Management and Financial Crimes on specific requirements and regulations arising under special circumstances
  • Review and ensure all required AML/KYC Regulatory requirements for new customers are in place
  • Conduct KYC refresh reviews on a periodic basis in order to ensure the data maintained is accurate
  • Inaccuracies identified through the KYC refresh will require in-depth research and investigation in order to remediate any discrepancies identified
  • Review internal referrals for inaccurate or missing KYC information
  • Document changes and ensure adherence to all record retention policies
  • Monitoring assigned reports and alerts to ensure on-going compliance with AML standards and regulatory updates
33

KYC Analyst Resume Examples & Samples

  • Ongoing maintenance/refresh of existing customer data
  • Liaison with other account control teams globally to ensure customers are opened correctly and meet local regulatory requirements
  • Liaison with Compliance Department and the Business units supported
  • Ensure team SLAs are met
  • Ability to work in a target driven environment meeting agreed SLAs
  • Good academic qualifications would be desirable, but less relevant than a strong track record in AML / KYC and / or operational reference data
34

KYC Analyst Resume Examples & Samples

  • Compare and analyse large volumes of core client static data points to identify discrepancies
  • Use both stored and public sources of information to determine most accurate data point
  • Work with client on boarding and static data teams to ensure systems are updated
  • Perform Know Your Client (KYC) due diligence on existing populations of clients
  • Strong Microsoft office experience (Excel, Word, Outlook etc)
  • Strong numerical, verbal and written communication skills with a high attention to detail
  • Previous projects experience will be well regarded
35

KYC Analyst Resume Examples & Samples

  • 2+ years of Client Service experience
  • Experience in undertaking FATCA / AML / KYC reviews within a Financial institution
  • Working knowledge of AML, Regulatory Compliance and Controls within the Banking and Financial Services industry
  • ACAMS
36

KYC Analyst Resume Examples & Samples

  • Research and validation of entity data using appropriate internal and external data sources. Entity Data includes legal name verification, address, nature of business and ownership
  • Periodic review of Capital Markets clients, ensuring documentation is accurate & current
  • Identify, monitor and update client information in Capital Markets systems
  • Liaise with internal/external stakeholders to provide exception management reporting & MIS
  • Perform quality reviews and reviews of procedures and processes
  • Daily interaction with teams in New York, Belfast and London
  • Strong academic qualifications would be desirable, especially in Sciences Skills: Required
  • Strong focus on Control and Process optimization
37

MYS Ctsm Kl-kyc Analyst Resume Examples & Samples

  • Graduates with 1-2 years of work experience with basic understanding of relevant banking practices, corporate policies and compliance requirements
  • Good command of reading and writing English/Mandarin/Cantonese Language
  • Good PC skills with ability to pick up new software systems
  • Cooperative, proactive with high sense of responsibility & teamwork
  • Attention to details with high accuracy in work
  • Strive for process improvement
  • Flexible enough to work as per Business timings
38

MYS Ctsm Kl-kyc Analyst Resume Examples & Samples

  • Good command of reading and writing English/Mandarin/Cantonese language
  • Cooperative, proactive with high sense of responsibility and teamwork
  • Flexible enough to work as per business timings
39

Senior AML / KYC Analyst Resume Examples & Samples

  • Working with key technical areas to gain access to the required data and manipulate the data to support your team in defining new Transaction Monitoring processes
  • Able to assess systems and data to achieve the required results
  • Able to test and improve processes
  • Able to train operational teams on the processes you create
  • Excellent query building skills on Oracle, SQL, Excel etc
  • Build MI for with key stakeholders
  • Provide timely and accurate query investigation and resolution
  • Solid experience across a number of data related technologies and comfortable with exploratory analysis
40

Senior AML / KYC Analyst Resume Examples & Samples

  • Working with key business areas to define new processes that meet required AML governance standards can be applied to the monitoring of transactions within the Global Markets business
  • Maintain an up-to-date knowledge of AML regulations
  • Manage and build relationships with key stakeholders
  • 8+ years analysis experience within the financial services
  • High calibre individual with a good working knowledge of AML in the financial industry and solid analysis experience, sought for a Senior Analyst position within one of the industry's largest institutional asset managers
41

KYC Analyst Resume Examples & Samples

  • As a minimum, candidates must have proven all-round strong entity knowledge. These include but aren't limited to: SPV's, Trusts, Large Corporate clients and Correspondent Banks
  • Global jurisdictions experience - EMEA, MENA, APAC, South America
  • EDD knowledge - The ability to screen for PEP's, Sanctions, Adverse Media and ABC across a variety of systems
  • Language skills (advantageous but not essential) - Russian, German and Portuguese
  • Advanced Excel skills (advantageous but not essential) - VBA's Macro's, Pivot tables etc
42

Client Adoption Onboarding / KYC Analyst Resume Examples & Samples

  • For new client adoption requests, search for KYC and CIP documentation in internal and external data sources
  • Communicate effectively with the business units regarding KYC / CIP documentation requirements
  • Obtain proper documentation and ensure accounts are approved in advance of deal commitment deadlines
  • Respond to ad hoc queries related to the documentation and client status
  • Escalate bottlenecks and capacity issues. Use this data for continual process improvements
  • Maintain effective relationships with Compliance, Senior Management and other Back & Middle Office areas
  • Applicants for this position should ideally have experience within an operational or control department within a banking environment, a Compliance or Legal Department within a banking environment, or within a similar Operations KYC function
  • Understanding of the workings of an investment bank and the lending/financing workflow of a trade is a plus
  • Knowledge of the regulatory rules and regulations relating to AML/CFT is desirable
43

AML / KYC Analyst Resume Examples & Samples

  • Liaise with internal and external clients ensuring compliance
  • On boarding of clients
  • Ensuring on boarding documents are completed
  • Co-ordination and carrying out renewal processes of coverage, business and compliance
  • 1 - 3 years' experience in banking or finance
  • Knowledge and experience of the technologies and processes
  • Languages (French, Spanish, Italian, German)- an advantage
44

KYC Analyst Resume Examples & Samples

  • Ability to engage at all levels, including but not limited to Chief Country Officers, Risk Officers and Subject Matter Experts
  • Ability to escalate critical issues
  • Ability to work under pressure and complete tasks within set deadlines
  • Analytical approach
  • 1-3 years of experience in client NCA, particularly specializing in institutional clients
  • Solid understanding of global and applicable local legal and regulatory policies and guidelines in connection with NCA an Anti-Money Laundering requirements
45

KYC Analyst Resume Examples & Samples

  • Perform the required Know Your Client/Know Your Intermediary (KYI) screening on new clients by documenting and corroborating the information obtained on the client as required by DeAM’s KYC Procedures utilizing a variety of independent research sources
  • Analyze Client data, documentation and negative news in order to determine Client Risk Profile as established under the KYC Procedures
  • Responsible for reviewing and ensuring all required AML / KYC Regulatory requirements for new clients are met
  • Liaise with Compliance on specific requirements and regulations arising under special circumstances
  • Liaise with Clients, Front Office, Legal, and Operations as necessary as part of the KYC process
  • Perform Client account periodic reviews and remediation efforts as required
  • Special projects related to Deutsche Asset Management’s AML efforts
  • Knowledge and interest in Asset Management industry and familiarity with industry jargon
  • Strong work ethic, commitment to excel and proven capacity to work effectively with minimum supervision and under tight deadlines in a fast-paced, unstructured environment while producing quality work
  • Strong communication, writing, analytical and organization skills
  • Experience in compliance or other client service exposure desired
  • Project management skills and ability to manage multiple responsibilities and work streams preferred
  • Retail mutual fund or hedge fund experience a plus
  • Strong Team Player skills as well as ability to work independently
  • High level of comfort in dealing with all levels of management
  • Familiarity with DeAM’s client relationship management platform, Salesforce.com a plus
  • Proficiency with Microsoft Office programs including Word, Excel and PowerPoint
46

KYC Analyst Resume Examples & Samples

  • Serve as primary point of contact for Bankers in completing KYC/documentation on account renewals and or assigned projects
  • Prepare client-specific KYC-related analyses as required
  • Contact client personnel to obtain KYC information and documentation
47

KYC Analyst Resume Examples & Samples

  • 3-4 years of working knowledge of KYC/Compliance/AML procedures and standards
  • Knowledge of multiple client types
  • Knowledge of financial industry with moderate expertise in various lines of business
  • Demonstrates strong verbal and written communication skills
  • Experience handling conflict resolution
  • Strong time management, organizational, relationship building skills
  • Quality-focused work ethic and strong controls mind-set
  • Adaptable to work in an evolving and changeable environment
  • Knowledge of multiple products such as Foreign Exchange, Derivatives, Fixed Income, REPO/Stock Loan and Commodities and Collateral Management
48

Global KYC Analyst Resume Examples & Samples

  • 3+ years’ experience in AML Compliance, preferably related to KYC
  • Work experience in a financial institution with job specific work experience in AML
  • Knowledgeable of the laws applicable to money laundering including the Bank Secrecy Act, the USA PATRIOT Act, US Treasury AML guidelines, OFAC requirements and Suspicious Activity Reporting requirements
  • General understanding of Senior Public Figures, Money Service Businesses, Correspondent Banks and Nonbank Financial Institutions
  • Established business knowledge and comprehension of financial products and services
  • Highly motivated, self-starter capable of working independently, without supervision
  • Strong research, analytical and writing skills as well as the ability to understand and draw conclusions from research
  • Must be able to multi-task, follow up on tasks and complete projects on time
  • Proficiency in second language a plus
49

KYC Analyst Resume Examples & Samples

  • Solid proven experience in an Investment Bank within a Compliance/Review team
  • Experience of KYC requirements across different entity types
  • Strong AML/KYC experience
  • Good understanding of MIFID classifications
  • Sound knowledge of KYC procedures and regulatory best practice
  • Ability to identify complex structures and apply relevant KYC / AML in this respect
  • University degree or relevant industry qualification preferred
50

Client KYC Analyst Resume Examples & Samples

  • Help manage sales education, outreach and coordination with respect to KYC / AML and client ownership
  • Assist in the development and implementation of a centralised KYC/AML ownership protocol; and,
  • Provide a point of escalation to sales
  • Escalation of negative news to Sales and Senior Management
  • Escalation of Citi screening hits (individual name screening results, AML/Sanctions)
  • Troubleshoot KYC issues escalated by the client or the salesforce
  • Ideal candidate will have extensive years of experience in financial services with previous experience in a KYC / AML or On-boarding role
  • Knowledge of trade flows, infrastructure and documentation
  • Education: Degree preferred
  • Languages would be advantageous
  • Good IT skills such as Excel, Databases and MIS
  • Highly motivated, self-starter who is able to work on own initiative
  • Able to manage routine processes with precision and ad hoc projects with flexibility and creativity
  • Efficient and effective use of office software (including spreadsheets and databases)
51

KYC Analyst Resume Examples & Samples

  • Ideally, a professional who has several years direct experience of either KYC, AML Compliance or legal matters; graduate can be envisaged
  • Fluency in English, both verbal and written, is essential
  • Good interpersonal skills both in respect of clients, the Banker and the Relationship Team
  • Able to work to deadlines
  • Service oriented approach
  • Strong PC skills including Work, Excel, PowerPoint, and applicable internal systems
52

KYC Analyst Resume Examples & Samples

  • Communicate directly with front office sales and trading staff, external clients, and key internal stakeholders on a daily basis
  • Ensure new requests and in flight cases are effectively managed and completed within the agreed timeframes
  • Perform '4-eye' reviews of KYC due diligence files prepared by the global teams
53

KYC Analyst Resume Examples & Samples

  • Manage client and partner expectations and understanding in a consultative way
  • Exhibit ownership of KYC/AML experience and client experience
  • Ensure KYC/AML deliverables are met and hold internal partners accountable
  • Demonstrate ongoing understanding of KYC/AML processes and work through delays and/or inefficiencies
  • Manage operational risk effectively through diligent awareness of risks in our processes
  • Escalate appropriate risk items and drive issues to closure
  • Manage client risk effectively by supporting the banker in client selection process
  • Independently manage renewal cycle of Due Diligence Forms with Relationship Management Partnership
  • Accountable for timely portfolio management while maintaining quality expectations
  • Ability to properly identify AML risks and apply the AML/KYC policy concepts
  • Some travel may be required (less than 25%) to support various client coverage teams
  • BA/BS degree or equivalent work experience in financial services
  • Working knowledge of risk factors that may impact specific products and industries
  • Ability to multi-task effectively and leverage internal resources
  • Strong client focus and ability to partner with various internal groups
  • Independent, self-motivated with an ability to adapt and be flexible in a team environment
  • Previous credit training or underwriting experience
  • Ability to navigate client relationships and product usage
54

CIB Bacc-kyc Analyst Resume Examples & Samples

  • Minimum one year’s experience with KYC and local documentation requirements for on boarding clients (knowledge about Brazil requirements is a plus)
  • Strong partnership and coordination skills
  • History of success working in a team environment. Flexibility to handle multiple tasks and changing priorities
  • Proactive/self-starter with the ability to deliver value-added support to business partners and clients in a dependable, timely and accurate manner
  • English and Portuguese fluency
  • Highly organized and motivated with strong prioritization skills, problem solving skills, and a control mindset
  • Excel skills (Word and PowerPoint a plus)
55

KYC Analyst Resume Examples & Samples

  • The itemisation / cataloguing of documents and information
  • Manipulation of data for MI and reporting purposes
  • Draft emails and make requests for information to the business, and other internal stakeholders
  • The preferred candidate will be a German Native speaker,
  • Have demonstratable KYC, ON-boarding experience
  • Must be able to work in a fast paced team environment, work to tight deadlines, have strong IT and written communication skills, particularly using Outlook, Excel, PowerPoint
56

KYC Analyst Resume Examples & Samples

  • Develop and lead projects supporting a global KYC operations team to improve compliance processes and deliver productivity in a lean shared services environment
  • Perform Customer verification; document and escalate exceptions; monitor for timely resolution
  • Perform due diligence checks on prospective customers, related parties, investors and suppliers
  • Perform enhanced due diligence checks on higher risk accounts
  • Conduct research using 3rd party solutions to identify potential risk issues
  • Analyze relationships and business activities to determine AML and reputational risk issues
  • Perform on-going monitoring; review, resolve and escalate where appropriate
  • Assess and advise business and compliance leadership of identified risk issues
  • Support business metrics reporting
  • Bachelors degree from an accredited college or university, or Associates degree with 2 years equivalent experience with exposure to financial services (Audit, Compliance, Legal, Operations, Risk, Finance)
  • Minimum of 1 year of customer due diligence experience
  • Strong knowledge of due diligence tools (Lexis-Nexis, Bridger World-Check)
  • Highly proficient in PowerPoint, Excel and Word
  • Strong analytical, problem solving and resolution skills
57

KYC Analyst Resume Examples & Samples

  • Transversal knowledge of the services and products of the corporate and investment banking sector, and/or specialist knowledge of one business area. Candidates with experience in client onboarding experience will be prioritized
  • Ability to examine in detail and understand the structure of a financial transaction, understanding of key issues in relation to AML risk, ability to identify relevant sources of information
  • Familiarity with HK AML/KYC regulatory and compliance issues will be an advantage
  • Analytical skills, precision, curiosity, tenacity and autonomy are key qualities in a KYC Analyst job
  • Fluent in written and spoken English
  • Good interpersonal and communication skills, sense of service, and flexibility are essential requirements in this service function
  • The position requires effectiveness, team spirit and an ability to work in a fast-paced and demanding environment as well as a strong interest in financial markets and banking activities
  • Eagerness to learn and to keep abreast of AML latest issues
  • At least 8 years working experience in a financial institution, with at least 5 year performing client onboarding or client due diligence for corporate and institutional customers. Candidates with experience in customer due diligence for funds/hedge funds experience will be prioritized
58

KYC Analyst Resume Examples & Samples

  • Provide guidance to the FO in respect of the KYC requirement of SGCIB London Branch
  • Proactively manage the onboarding of clients by executing all the best practices stipulated by the KYC policy handbook
  • Manage the KYC New Request mailbox with the existing onboarding team and respond to queries from the Business Line accurately, efficiently and promptly
  • Apply a suitable categorisation for all clients according to current KYC guidelines and standards
  • Ensure that the statutory and mandatory information provided by the FO in connection with the “take-on” of new clients is relevant, complete and fit for purpose, and that take-ons are conducted in accordance with SGCIB and Compliance KYC policy
  • Prepare supplementary documentation on file/queries as and when required (e.g. reports for Compliance, Memos, file notes)
  • To be flexible and work to tight deadlines when required (for example, with urgent requests from the Business Line) on the take-on of new clients (this is important for the role)
  • To conduct a risk based analysis on prospective (or existing) clients with a view to forming an opinion as to the suitability from a KYC perspective of individual clients to conduct business with SGCIB
  • For complex transactions, analysis of the role of associated parties to the transaction and identification of potential regulatory and reputation risks in liaison with the relevant Business Line
  • Carry out appropriate due diligence checks and information searches in line with the internal standards for client take on and undertake additional reputation checks and diligences as and when necessary, (depending on the risk level of the file). To raise potential concerns (AML, CTF, regulatory) and if required to prepare a detailed KYC Compliance report and submit the file to Compliance
  • To assist the KYC team and KYC manager with training sessions to the Business Lines when required
  • To assist with Reviews work when required to do so by the KYC manager
  • Solid KYC experience within a financial institution, with good understanding of KYC requirements for various client types
  • Experience with Lending product KYC an asset
  • Experience in dealing with front office staff, including Senior Management
  • The ability to work unsupervised, and the willingness to work extra hours when required
59

Kyc-analyst Resume Examples & Samples

  • Complete KYC Record incorporating local regulatory requirements/Global BSU Standards and policies
  • Languages
  • Proficient use of KYC applications (an advantage)
60

AML / KYC Analyst Resume Examples & Samples

  • Conduct Anti Money Laundering and Customer Due Diligence (CDD) checks on new Merchants
  • Search online providers for required CDD / AML supporting documentation and verification of corporate structures
  • Coordinate with Risk Officer, Compliance Officers, their teams and LOB General or Regulatory Counsel on cross-LOB issues
  • Day to day decisions made without supervision or review. The candidate will have significant impact on the function, department and organization
  • Bachelors of Science/ Bachelors of Arts in business/finance accounting related field
  • Professional qualification such as LCOI or CAMS is desirable
  • 3- 5 years' experience in a regulated Financial Services Organization within a Compliance or AML/KYC function
  • Knowledge of Customer Due Diligence requirements per the Criminal Justice Act 2010 as amended
  • Excellent communication skills with ability to build solid relationships with colleagues at all levels
  • Knowledge or understanding of existing risk management practices, preferred
  • Excellent research and analytical skills and skilled at analyzing AML/KYC documentation
  • Must be able to deal with ambiguity, think critically, solve problems creatively, plan and meet deadlines; demonstrate strong sense of personal accountability
  • Experience with Front-Line processes and procedures
  • Flexible to work additional hours as needed
  • Proficient MSOffice: PP, Excel, Visio - Required
61

KYC Analyst Resume Examples & Samples

  • Excellent problem solving and time management skills
  • Strong communication skills (oral/written)
  • Team-working/information sharing
  • Ability to partner with Compliance, other KYC departments in SG, and business lines
62

KYC Analyst / Team Lead Resume Examples & Samples

  • Review clients' profile prepared by the analyst ; ensuring its compliance with internal and external regulatory requirements
  • Complete due diligence on each client ; ensuring complete understanding of clients
  • Escalating any red flags in a timely manner
  • Work closely with stakeholders of the business to conduct periodic reviews on existing customers
  • Ownership and proactive management of KYC policies and Quality Control regulations
  • At least 5 years of experience in KYC / Compliance related role
  • Experience should start from being a KYC Maker to Checker
  • Experienced in conducting investigations relating to AML
  • Experienced in reviewing and analyzing KYC files
  • Corporate Investment Banking (CIB) experience will be added advantage
  • Experienced in leading a team size of more than 5 staffs (Only required for Team Lead role)
63

KYC Analyst Resume Examples & Samples

  • Conducting research on existing clients to obtain company KYC data from public sources
  • Escalating of due-diligence findings to regional Refresh teams and the Compliance function
  • Taking an active role in training junior team members
  • Checking and providing approval of work conducted by junior team members
64

Temp KYC Analyst Resume Examples & Samples

  • OFAC verification on all new customers
  • Performs independent check of KYC information provided by front office
  • Review KYC cases as required
  • Update KYC information database
  • Opening and update of all accounts as part of Centralized Account Opening 
  • Intermediate knowledge of KYC or AML concepts
  • Intermediate knowledge of commercial banking products and account opening requirements
  • Good analytical skills 
65

Temp KYC Analyst Resume Examples & Samples

  • Perform independent check of KYC information provided by front office
  • Validate CIP information through documents and non documentary methods
  • Identifies, records, escalates, and resolves exceptions found in KYC/CIP data
  • Update and verify customer static data
  • Perform Periodic KYC reviews on risk based schedule
  • Three to five years of experience in a Regulatory or Compliance KYC/AML background
  • Lotus Notes, MS Excel, MS Word
66

KYC Analyst Resume Examples & Samples

  • Work with the Business Support Unit to assess documentation requirements for client legal entities and jurisdictions
  • Review and respond to the periodic transaction reviews
  • Demonstrable experience and working knowledge of KYC essential within the Correspondent Banking space (desirable)
  • Demonstrable fluency in English and German both in speaking and writing is essential
  • Professional work experience gained within the Financial Services Industry is essential
67

KYC Analyst Resume Examples & Samples

  • Assist in the maintenance and the design of new processes and protocols to ensure efficient processing and escalation of client requests or issues
  • Verify client information / data entered into Citi KYC by the on-boarding and refresh teams
  • Single point of contact to Investor Sales for any KYC/AML questions or concerns
  • Coordinate with product coverage regarding client’s product profile, to ensure that the customer’s trading activity is suitable
  • Manage client outreach for periodic KYC refreshers
  • Supervisory oversight of an additional team member
  • Ideal candidate will have over extensive years of experience in financial services with previous experience in a KYC / AML, Compliance or on-boarding role
  • Broad range of Markets products such as Rates, Credit, Equity, FX and Commodity Products
  • Good operational control, change management and customer interaction experience would also be a plus
  • Good IT skills such as Excel, Databases and MIS Skills and Competencies
  • Exceptional process and conflict management ability
  • Ability to prioritise multiple tasks based on materiality
  • Fast thinker and quick learner with the ability to work effectively under pressure in a rapidly changing environment
  • Efficient and effective use of office software (including spread sheets and databases)
  • Process management skills an advantage
68

KYC Analyst Resume Examples & Samples

  • Conducting CDD / EDD on assigned new clients in all risk classes (Low -High Risk)
  • OFAC/World-Check screening
  • Apply the SGUS Know Your Customer Procedures to assigned accounts
  • 1-2 years experience in the Financial Services industry in a KYC or AML capacity
  • Strong time management skills and the ability to work well under pressure
  • An inquisitive nature and ability to spot issues, and address conflicts and escalate issues where appropriate
69

Senior KYC Analyst Resume Examples & Samples

  • Management of more complex KYC cases including high risk clients
  • Research and validation of customer identification data/evidence using appropriate internal and external data sources
  • Ensure customers classified in line with required (CIP, FCA/PRA, KYC) regulations
  • Daily monitoring of account refresh activity to ensure all regulatory/document requirements are met
  • Subject matter expert and mentor for team members with regards to ‘on-the-job’ training and development
  • Previous investment banking experience, specifically of customer identification / KYC
  • Experience in coaching/leading peers
  • Experience in business and client liaison to drive issue resolution
  • Good knowledge of MS Office Suite, including proficiency in Excel
  • Awareness of and adherence to audit and risk controls
  • Good academic qualifications would be desirable, but less relevant than previous experience in an AML/KYC and/or operational reference data environment
70

KYC Analyst Resume Examples & Samples

  • Update and verification of customer static data
  • Identifies, records, escalates, and resolves exceptions found in the KYC/CIP data
  • Validates CIP information through documents and non-documentary methods
  • Performs and records enhanced due diligence (EDD) on KYC data as required
  • Reviews new accounts against Government Lists
  • Performs periodic KYC reviews on risk-based schedule
  • Reviews KYC cases as required
  • Updates KYC information database
  • Opening and update of all accounts as part of Centralized Account
  • 0-2 year if experience in Financial Services
  • General knowledge of commercial banking products a plus
71

KYC Analyst Resume Examples & Samples

  • Form part of the global COB KYC QA testing team
  • Apply the QA methodology to deliver an objective review on client files. Perform accurate and consistent QA checks on KYC files across multiple business areas and client risks
  • Ensure that testing activities are being conducted in accordance to the testing strategy and plan. Ensure adherence to testing best practices and DB testing standards
  • Report QA results into the QA Team Lead or Regional Lead and ensure that risks and issues are recorded and escalated as appropriate
  • Operate as a QA specialist for the evolving QA methodology and framework implementing required change in partnership with the global team
  • Partner with the Client Onboarding teams to improve KYC standards. Support and contribute towards a continuous improvement program of work borne out of QA testing results, asses root causes and thematic issues proposing steps to be taken to eliminate, evidencing improvements
  • Sustain to a culture of teamwork and collective achievement of departmental goals and objectives across QA and Client Onboarding teams
72

Gmci KYC Analyst Resume Examples & Samples

  • Verify the identity of prospective new clients across the Global Markets division
  • Verification should be in accordance with local regulatory and Credit Suisse policies and procedures
  • KYC analysts verify that Sanctions, PEP and Adverse Media / Negative News screening has taken place using appropriate systems
  • Ensure clients are correctly classified as prescribed by CS Policy and Regulatory expectations
  • Provide training on KYC / AML to Colleagues and other Departments as required
73

Senior KYC Analyst Resume Examples & Samples

  • Review KYC cases and update KYC information database
  • Review new accounts against Government List
  • Perform and record Enhanced Due Diligence (EDD) on KYC data as required
  • Identify, record, escalate, and resolve exceptions found in KYC/CIP data
  • Opening and update of all accounts as part of Central Account Opening
  • KYC cases and update KYC information database
  • Perform Periodic KYC reviews on risk based schedule 
  • Regulatory or Compliance KYC/AML background
  • Intermediate knowledge of commercial banking products and accounts opening requirements
  • General Knowledge of commercial banking products a plus
  • 5 years' KYC experience
  • Lotus Notes, MS Excel, MS Word, and close attention to detail
74

Gmci KYC Analyst Resume Examples & Samples

  • Knowledge of UK /EU regulatory environment and general AML and KYC principles (Preferable)
  • Good Excel and PowerPoint skills
  • Good Interpersonal and communication skills
75

Gmci KYC Analyst Resume Examples & Samples

  • Knowledge of UK /EU regulatory environment and general AML and KYC principles (solid asset)
  • Knowledge of Excel and Powerpoint
  • Fluent command of Business English
  • Ability to communicate in Arabic or Russian is a solid asset
  • Bachelor or Master degree preferably in Business Administration
  • Proactive, can-do attitude
76

Junior KYC Analyst Resume Examples & Samples

  • Graduate or last years of studies (able to work full time)
  • Written and oral communication skills in English
  • Ability to interact and facilitate across diverse audiences
  • Microsoft Office basic functions (i.e. Excel, Access)
  • Self-development and will to learn
77

KYC Analyst Resume Examples & Samples

  • Stakeholder management of key clients
  • Experience of working within a regulatory/control environment
  • Must possess good communication skills
  • Strong organisational skills with excellent attention to detail
  • Customer facing abilities, able to communicate clearly, strong at articulating and resolving issues
78

KYC Analyst Resume Examples & Samples

  • A specialist member of the KYC (Know Your Customer) & Account Opening team responsible for obtaining, completing and maintaining all Regulatory KYC documentation for all Clients in accordance with the Bank's guidelines and in compliance with UK & global financial regulations
  • To work in partnership with other Barclays Corporate teams (the Relationship team, the Client Servicing Team, the Credit teams & the AML Team) – as well as our wider business functions (the Investment Bank, Barclays Wealth, and the Corporate Bank – both in the UK and internationally) – to deliver a ‘One Barclays’ client experience
  • Communication skills: must interact professionally with Clients and internal stakeholders at face-to-face meetings or via phone or email
  • Time management skills: must manage workloads effectively to complete complex and high-priority tasks within target timescales
  • Analysis & Judgement: must undertake KYC analysis with a high level of accuracy and attention to detail
79

KYC Analyst Resume Examples & Samples

  • Bachelors Degree in Business Administration, Economics, Finance, Science, or Mathematics
  • Excellent written and verbal communication skills Strong analytical skills with high attention to detail and accuracy
  • Ability to self manage and prioritize case assignments in a dynamic environment Research experience utilizing both open source and third party vendor s resources such as LexisNexis, NYSE, Mint etc
  • Understanding of different types of businesses money service business, manufacturing, financial services companies, professional service providers, private companies, publicly traded etc
  • Experience using Microsoft Office applications Word, Excel, PowerPoint Some Knowledge of KYC, USA PATRIOT Act, AML regulations
80

KYC Analyst Resume Examples & Samples

  • Good command of English (other languages an asset),
  • PC literacy, mainly MS Excel,
  • Ability to effectively work on telephone/email with various parties,
  • Knowledge of securities operations,
  • Exact, accurate, well organized, quick in action,
81

KYC Analyst M / F-vie Jersey City Resume Examples & Samples

  • Perform the KPI for US KYC team
  • Dealing with local US requirements of KYC
  • Learning the KYC procedures, the risks management
  • Interact with key stakeholders
  • Perform presentation
82

KYC Analyst Resume Examples & Samples

  • Engage internal and external clients to help facilitate the onboarding and maintenance processes
  • Coordinate client / counterparty onboardings across multiple functions / units - Front Office, Compliance, AML, Operations, Legal and Tax, amongst others - all in a high pressure / time-sensitive environment
  • Review bank agreements, legal documents, and other paperwork for completeness and accuracy
  • Leverage accumulated wisdom to make determinations re document applicability in the risk control process, where documents are atypical or uncommon
  • Assess / assign risk classifications to clients / counterparties expanding their business, as well as those incoming; where applicable, remediate KYC profiles due to changes in risk factors
  • Assist in delivering training related to the account opening process and key competencies required to facilitate
  • Undertake renewal due diligence on existing clients / counterparties to ensure identification of changes in risk profile, including reputational and operational risk factors
  • Participate in think-tank discussions concerning KYC / AML / Dodd-Frank / FATCA policy and desktop procedure updates
  • Assist in the creation of a KYC Desktop Procedures to ensure that the onboarding / client maintenance process is documented, transparent, consistent, sustainable and effective
  • Participate in design and testing of enhancements to client due diligence databases, reports and systems
  • Preferred Previous Work Experience: 3-5 years working at a large Financial Institution in a similar role
  • Preferred Education/Licenses/Certifications/Registrations: College graduate preferred, or its equivalent
  • Strong understanding of US PATRIOT Act, BSA / AML requirements (e.g. CIP requirements; difference between CDD and EDD; etc)
  • Strong understanding of Dodd-Frank and FATCA
  • High competency in using external due diligence tools such as Alacra, LexisNexis, etc
  • Track-record of composure in fast-paced, high pressure environment that is still finding its way towards “high performance”
  • Healthy mix of compliance and pragmatism /commerciality in an environment where revenue growth is a mandate and risk control is paramount
83

KYC Analyst Resume Examples & Samples

  • Conduct Due diligence and Know Your Customer (KYC) research for clients, as part of the business-wide Anti-Money Laundering (AML) Compliance remediation process
  • Analysis of accounts and client information according to prescribed internal control policies and procedures
  • Identification and production of information required to satisfy the Bank’s KYC due diligence policies and processes
  • Execute and review negative media alerts from client screening and escalate where necessary
  • Package client due diligence research and documentation for review by Relationship Managers
  • Meet production target volumes and dates as advised
  • Communication with HSBC officers and other employees involved in the maintenance of internal control standards
  • Assist with other tasks as required
  • Daily discretion within assigned authority. Decisions beyond assigned authority are referred to management for approval
  • ACAMS preferred
  • Experience in undertaking FATCA / AML / KYC reviews within a financial institution
  • Strong teamwork, organizational, complex problem resolution and initiative
  • Strong familiarity with Microsoft Word, Microsoft Excel, and Internet Explorer
84

KYC Analyst Resume Examples & Samples

  • Review entire KYC file ensuring that attachments support the information in the file
  • Identify any inconsistencies evident in the file and work with AO, BLCO and BSA/AML unit to resolve
  • Ensure that the form is prepared accurately
  • Coordinate with CoDA Quality Assurance to make sure that lessons learned from QA results are incorporated into AO, BLCO & KYC Unit activities
  • Request and evaluate a vendor performed search to determine whether the client is a politically exposed person (PEP Search), is the subject of negative press (Negative Press Search), is subject to government sanctions or internal restrictions (Security Search), or has been the subject of any negative compliance-related information (“Negative Compliance Information Inquiry” or “NCII”)
  • Support general compliance activities and other duties, including special projects, as assigned
  • 1-5 years experience in general or Financial Crinmes compliance. *General understanding of BSA/AML/OFAC/SAR regulations
85

KYC Analyst Team Manager Resume Examples & Samples

  • Managing people and all activities associated with that
  • Managing workflow to ensure daily, weekly and months quotas are met
  • Interpreting and advising on requirements impacting the Front Office
  • Training on all client onboarding procedures that have been updated which impact the Private Bank
  • Coordinate all client onboarding meetings including preparing the agenda, scheduling the meetings and collecting materials for the meeting
  • Manage query log to ensure all client onboarding queries are responded to in a timely manner
  • Maintain and communicate Key Risk Indicators and metrics on all required client onboarding activities
  • Assist in the tracking of client onboarding internal and external audit observations and regulatory findings
  • Support the Business and Relationship Managers with reporting, ad hoc requests, and training
  • Exhibit solid time management to complete quarterly and annual reviews scheduled in an efficient and effective manner
  • Ensure all exemptions to policies are in place and tracked
  • Assist in providing regulatory oversight including providing training and guidance to Front Office staff
  • Assisting in any project related activities as required for the Business Management team
  • Daily discretion within assigned authority. Decisions beyond assigned authority are referred to higher levels of management for approval
  • Excellent written & oral communication and presentation skills including the ability to deliver accurate messages to senior management
  • Strong teamwork, organization, complex problem resolution, initiative
  • Experience in Banking, compliance, risk management and / or internal audit
  • Experience interpreting and advising on BSA / AML initiatives
  • ACAMS Preferred
  • Ability to learn to identify key risks and controls that require testing within processes
  • Time management skills with the ability to prioritize and multi-task
  • Ability to work professionally with all levels of staff and management
86

KYC Analyst Resume Examples & Samples

  • Open and maintain client accounts and client related static in GMI and other core Back Office systems
  • Input, verify and maintain commission rate schedules
  • Set up and maintain product static data including exchange fees
  • Provide support to the business re commission and fee set ups
  • Monitor and investigate daily charges for commission, execution and fees
  • To maintain controls on static data to ensure integrity of data
  • To assist with the regular review of client data within all systems in liaison with customer support
  • To assist with the audit of the current static data set-up of commissions, fees and interest in order to align with customer agreements and broker/ clearing houses fees
  • Ability to show initiative and manage workflow of department
  • Good I.T. skills, GMI, Excel, Access
  • Experience within static data function
  • Minimum 6-10 years banking/finance experience
87

Junior KYC Analyst Resume Examples & Samples

  • Complete EDDs (Enhanced Due Diligence) for existing and new to Citibank customers
  • Communicate with clients (via phone, email, letter) to obtain additional KYC (Know Your Customer) information and clarify transactions that can pose risk to the bank
  • Drive client value by delivering excellent service via phone, email and letter interactions with customers
  • Identify and escalate execution risks and issues and effectively troubleshoot/solve that ensure quality results
  • Building the business and deepening customer relationships through the execution of effective telephone banking process
  • Be an efficient team player and work as a partner to deliver results
  • Identify potential target-market clients and refer them to the business
  • Close cooperation with all the business related departments
  • Comply with Citibank’s policies and available procedures/guidelines to ensure safety and security of the bank and customers assets are maintained
  • Graduate or last years of studies (able to work full time). Previous experience in banking or KYC/AML is preferred
  • Eligible to work in Poland
  • Strong command of spoken and written English (C1 and higher levels). Ability to interact and facilitate across diverse audiences
  • Good interpersonal skills, self-confidence and courteousness
88

KYC Analyst Resume Examples & Samples

  • Transversal knowledge of the services and products of the corporate and investment banking sector, and/or specialist knowledge of one business area. Candidates with experience in customer due diligence for funds/hedge funds experience will be prioritized
  • Strong knowledge of China AML/KYC regulatory and compliance issues particularly in the banking and investments sectors, to ensure our KYC standard is compliant with local regulatory requirements
  • Sensitivity to the demands and constraints of a capital market environment and financing activities
  • Ability to work independently and proactively manage relationships with the local BLs and Compliance with minimum supervision
  • Ability to assess appropriate practical guidance and solutions to onboarding issues without compromising internal controls, policy requirements or external regulatory requirements
  • Capable of delivering various briefings and trainings to the BLs re: KYC policy/regulations and client onboarding process
  • Fluent in written and spoken English language and Mandarin
  • Good interpersonal and communication skills, reactivity, sense of service, anticipation and flexibility are essential requirements in this service function
  • Two to five years working experience in a financial institution, with at least one year performing client due diligence/AML/KYC assessments for corporate and institutional customers. Candidates with experience in evaluating higher risk files will be prioritized
89

KYC Analyst Resume Examples & Samples

  • Familiarity with Hong Kong AML/KYC regulatory and compliance issues particularly in the banking and investments sectors, to ensure our KYC standard is compliant with local regulatory requirements
  • Ability to work independently and proactively manage relationships with the local BLs with minimum supervision
  • Fluent in written and spoken English language; Candidates fluent in Chinese or French language, preferred
  • At least three years working experience in a financial institution, with at least two years performing client due diligence/AML/KYC assessments for corporate and institutional customers. Candidates with experience in evaluating higher risk files will be prioritized
90

Gmci KYC Analyst Resume Examples & Samples

  • You have knowledge of UK /EU regulatory environment and general AML and KYC principles (preferable)
  • You have good Excel and Powerpoint skills
  • You have good social and communication skills
  • You are detail oriented
  • We also expect solid English skills and "can do" attitude
91

BSA KYC Analyst Resume Examples & Samples

  • 3 or more years of previous banking experience with at least 1 year in compliance, BSA/AML, fraud or credit analysis
  • Intermediate knowledge of community bank operations, products and services
  • Intermediate knowledge of BSA/AML and OFAC regulatory requirements
  • General understanding of BSA/AML, USA PATRIOT Act and OFAC requirements and regulations
  • Knowledge of business operations of customers such as, Money Services Businesses (MSB), Casinos, ATM Owner/Operators and other higher risk entities
92

KYC Analyst Resume Examples & Samples

  • Prepare client-specific KYC-related analyses and complete Customer Acquisition Due Diligence where required
  • Interact with clients to obtain KYC and other compliance information and documentation where escalations from BSU 2.0 are raised
  • Undertake KYC activities for the on-boarding of new clients, working closely with the BSU to ensure timely on-boarding and reduction of touch points
  • Close liaison with BSU 2.0 Specialist to ensure all Country records are remediated in a timely manner
  • Act as KYCO for approval of KYC records for France on behalf of Coverage Business
  • Assist Coverage team with all KYC related activities (NCOF, NAOF, Credit Only, Client On-boarding, etc)
  • Support the wider EMEA KA team with projects which help the organization meet its regulatory deliverables
  • Client Service experience and/or Front Office experience preferred
93

KYC Analyst Resume Examples & Samples

  • Experience and knowledge of AML and KYC a plus
  • Ability to speak and write Mandarin/Simplified Chinese is a plus, although not required
  • Ability to speak and write Filipino is a plus, although not required
94

KYC Analyst Resume Examples & Samples

  • Strong working knowledge of the Windows product suite
  • 3 years of experience in client NCA, particularly specializing in institutional clients
  • Strong understanding of global and applicable local legal and regulatory policies and guidelines in connection with NCA an Anti-Money Laundering requirements
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KYC Analyst Resume Examples & Samples

  • Bachelor's in administration or business and expertise relevant to the main duties described above
  • Rigorous work performance
  • Good judgement and analytical skills and takes initiative
  • Timely execution
  • Ability to manage stress and prioritize
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ISG KYC Analyst Resume Examples & Samples

  • Contact person and point of escalation for the team and its stakeholders
  • Work closely with senior member of the deal team to act as a point of escalation for IB clients
  • Act as a point of contact for exception approvals and time sensitive deals
  • Have a proactive approach to business issues, identifying areas of improvement & enhancement including the automation of processes related to IB deals
  • Ensure proper and effective governance of tasks and processes with reference to internal policy & external regulation
  • Develop the on-going KYC training plan to develop and enhance staff knowledge of IB business and product
  • Drive continuous improvements to quality of data and client service levels
  • Coordinate with account operations on account maintenance issues and account opening for IB clients
  • 3-5 years management / leadership experience within the KYC / AML environment
  • Proven track record of leading delivery
  • Proven ability to interpret and implement change on a regional / global level
  • Proven people and stakeholder management skills working with senior levels of an organisation including the business and compliance
  • Experience of AML / compliance policy environment including implementation / adoption of change
  • Familiarity with external products and services within the KYC / COB environment
  • Strong teamwork skills in a small local setting, as well as across different geographic locations
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AML / KYC Analyst Resume Examples & Samples

  • Resolve matters for the regulatory onboarding operations teams
  • Adhere to AML controls, PEP screenings and KYC/AML policies
  • Collaborate with the business line to develop and implement best practices
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KYC Analyst Resume Examples & Samples

  • Liaise with Sales Account Managers to ascertain information on the purpose of client accounts, transaction volumes etc
  • Report as needed to regional/local control committees on challenges, progress, etc
  • Minimum 3-5 years of professional work experience, preferably in Financial Services
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Bacc-client Onboarding / Kyc-analyst Resume Examples & Samples

  • Perform KYC (Know Your Customer) and client documentation analysis in support of the approval of new customers and remediation, renewal or amendments to existing ones, identifying and applying regulatory requirements of the different applicable jurisdictions and internal procedures
  • Study of legal and commercial documents, in order to understand client´s activity, structure, and risk associated
  • Obtain a general understanding of and execute AML (Anti money laundering) policies and internal procedures, in accordance with local and global principles
  • Address business questions and advise about onboarding requirements and status
  • Quality Control activities: In-depth knowledge of procedures and systems to ensure client records are compliant with all applicable rules, protecting reputation, assets and finances of the bank
  • Offboarding, Renewal and Remediation tasks
  • Set up or verification of new clients to the Latam local systems and Global Reference Data systems, considering current policies and evidencing client´s information in the record
  • Ensure Standard Operating Procedures are updated reflecting the latest procedures
  • Teamwork with other supporting areas such as Legal, Compliance, Internal Controls, Technology, Client Services, as well as with other Regional and Global Client Onboarding teams
  • Prepare data or reports as required by regulatory needs related to clients
  • Participate in special projects as requested
  • Participate in special projects
  • Excellent verbal, written and interpersonal communication skills
  • Highly organized, proactive and motivated with strong prioritization skills, innovation and problem solving skills, and a control mindset, with the ability to deliver value-added support to business partners and clients in a timely and accurate manner
  • Participate in meetings or conference calls providing status on processes
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KYC Analyst Resume Examples & Samples

  • Minimum of 3 years experience with account opening and account opening documentation and/or operations background in Financial Institution
  • New Account opening experience (Individual/Joint, Corporations,Offshore, LLC, Partnership, Estate, etc...) Account documentation review experience
  • (Tax forms W-8,W-9 Corporate Resolutions, Articles of Incorporation, Articles of Association, By
  • Laws, Financial Statements, Certificate of Incorporation or Commercial Registry...)
  • AML documentation (KYC) experience-Able to read, write and speak Spanish-Knowledge of Excel, Word and Access
  • Well developed written, verbal communication and interpersonal skills-Must be multi-tasked to be able to work in a fast pace environment
  • Ability to deal with all levels of personnel in a courteous and efficient mannerSearch Jobs US
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Client KYC Analyst Resume Examples & Samples

  • Escalation of negative news to Sales & Senior Management
  • Ideal candidate will have extensive years’experience in financial services with previous experience in a KYC / AML, Compliance or on-boarding role
  • Good operational control, change management & customer interaction experience would also be a plus
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CIB Bacc-client Onboarding / Kyc-analyst Resume Examples & Samples

  • Daily interaction with Sales/Bankers (Front office) to obtain required documents
  • Control and follow up of Pending Client Documentation by liaising with internal Lines of Business
  • Perform client searches, and accurately communicate the information requested
  • Requirements
  • Fluent English is mandatory, both written and verbally. Formal communication in English is required on the daily tasks. Spanish is desired. Portuguese is a plus
  • Prior experience with deadlines for time sensitive tasks
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KYC Analyst Resume Examples & Samples

  • The Data Operations Customer Data team is responsible for On Boarding and the ongoing maintenance of client static data. The Team provides support to the BUK and BI businesses
  • The role holder will be responsible for the handling of the UK Private Bank (UKPB) / Private Client Service (PCS) KYC records to ensure they comply with Customer Due Diligence (CDD) and Know Your Customer (KYC) standards
  • The role holder will be required to become a CDD Policy expert and apply this knowledge to ensure client on-boarding standards are maintained to a level sufficient to pass audit
  • The role holder will be able to articulate exact gaps in requirements clearly and be able to highlight the relevant policy section
  • This is a technical role with no direct line management responsibilities
  • The team are called upon to opine and provide assistance to Front Office for complex cases and changes in procedure and policy. Being able to clearly articulate the impact and implications to all relevant stakeholders
  • The team is responsible for ensuring that there process remains in alignment with all policy updates timely and effectively with internal procedures updated
  • The role holder will be expected to support the Private Bank and PCS, KYC Trigger Event processes and the management of key stakeholders through the process
  • A key requirement of the role is to conduct detailed root cause analysis on defects and work with front office stakeholders to improve the quality of KYC records
  • Gather information about customers in accordance with Group policy and regulatory requirements (e.g. Source of Wealth, Source of Funds, transactional history)
  • Prepare a customer case with all gathered information
  • Prepare a recommendation on how to proceed and enhance a customer file for Business Unit representatives to progress
  • Perform necessary training in order to be appropriately trained and skilled in order to effectively carry out duties
  • Ensure all activity is delivered in accordance with processes, procedures, and the control framework in place
  • Continually seek to improve and enhance processes, procedures or controls
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KYC Analyst With Czech Resume Examples & Samples

  • Assisting in the departmental quality reviews
  • Fluent English and Czech (oral & written)
  • Ability to work as the team player
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KYC Analyst With Hungarian Resume Examples & Samples

  • Creating the client identification documents
  • Proactively interacting with other Departments within the organisation to achieve common goal
  • Fluent English and Hungarian (oral & written)
  • University degree, theme Law is an asset
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Gmci KYC Analyst Resume Examples & Samples

  • You will verify the identity of prospective new clients across the Global Markets division
  • You as a KYC analyst, verify that Sanctions, PEP and Adverse Media / Negative News screening has taken place using appropriate systems
  • You will ensure clients are correctly classified as prescribed by CS Policy and Regulatory expectations
  • You will provide training on KYC / AML to Colleagues and other Departments as required
  • You have knowledge of UK / EU regulatory environment and general AML and KYC principles (Preferable),
  • You have Excel and PowerPoint skills,
  • You have good interpersonal and communication skills,
  • You are fluent in English,
  • Knowledge of Russian, Dutch or German would be a solid asset,
  • Knowledge of any other additional foreign language is a plus
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KYC Analyst UK Resume Examples & Samples

  • Estimate the risk of money laundering and terrorism financing
  • Report to the KYC Team Leader in Lisbon
  • Initiate the GOF (Global Onboarding Form) with the previous KYC file
  • Ensure the collection of missing documentation
  • Ensure the FATCA/AEOI identification of the clients
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KYC Analyst, Client Due Diligence Services Resume Examples & Samples

  • The opportunity to conduct periodic Know Your Client (KYC) reviews of existing clients, performing enhanced due diligence, and ensuring overall compliance with CS procedural standards
  • Validation of the identity of existing clients across the APAC division
  • Verification in accordance with local regulatory (MAS/HKMA) and Credit Suisse policies and procedures
  • Ensuring Sanctions, PEP and Adverse Media / Negative News screenings performed in accordance within CS procedures
  • Is a client facing role and offer front office collaboration with Sales and Relationship Managers as required
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KYC Analyst With Czech, Romanian Resume Examples & Samples

  • Fluent English and Hungarian, Romanian or Czech
  • Experience in control/risk, Compliance (AML/KYC) or Customer Service function as an asset
  • Analytical and good organizational skills are an asset
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KYC Analyst Resume Examples & Samples

  • Act as KYCO for approval of KYC records for UK on behalf of Coverage Business
  • Assist Coverage team with all KYC related activities (NCOF, NAOF, Credit Only, Client On-boarding, etc
  • Minimum years of professional work experience, preferably in Financial Services
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KYC Analyst Resume Examples & Samples

  • Navigation of the sales organisation
  • Business cycles and cash flows
  • Business and organisation structures
  • Ability to deal with high pressure, time sensitive and deal breaking tasks
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KYC Analyst Resume Examples & Samples

  • End to end management of client KYC process including liaison across the business, compliance and operations Management of more complex KYC cases including high risk clients Research and validation of customer identification data/evidence using appropriate internal and external data sources Ensure customers classified in line with required (CIP, FCA/PRA, FED, KYC) regulations On-going maintenance/refresh of existing customer data Daily monitoring of account refresh activity to ensure all regulatory/document requirements are met Liaison with Compliance Department and the senior management within Business units supported Initiate process enhancements to improve turnaround time of client on-boarding experience and client service Ensure team and personal SLAs are met Monitoring and supervision of KYC control environment Delivery on targets and objectives in line with timelines dictated by BAU and Refresh Programme Subject matter expert and mentor for team members with regards to ‘on-the-job’ training and development Stakeholder management of key clients
  • Good knowledge of MS Office Suite, including proficiency in Excel Strong teamwork skills in a small local setting, as well as across different geographic locations Must possess good communication skills Strong organizational skills with excellent attention to detail Ability to focus on high quality work while under pressure Good academic qualifications would be desirable, but less relevant than previous experience in an AML/KYC and/or operational reference data environment Financial services related qualifications would be advantageous (e.g. IAQ or similar) Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience. Previous investment banking experience, specifically of customer identification / KYC Experience of working within a regulatory/control environment Familiarity with external products and services that add value to client and account data management Experience in coaching/leading peers Experience in business and client liaison to drive issue resolution
  • Awareness of and adherence to audit and risk controls Customer facing abilities, able to communicate clearly, strong at articulating and resolving issues
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KYC Analyst Resume Examples & Samples

  • Maintain regulatory compliance in relation to KYC processing for the Review process
  • Support Front Office and provide KYC guidance and support where required
  • Support Team Leader, provide assistance on ad hoc projects as required
  • Proactively manage your KYC Review portfolio by executing all the best practices stipulated by the KYC policy handbooks
  • Manage the KYC Reviews mailbox and respond to queries from the Business Line accurately, efficiently and promptly
  • Ensure that the statutory and mandatory information provided by the FO in connection with the “continued relationship” is relevant, complete and fit for purpose, and that Reviews are conducted in accordance with SGCIB and Compliance KYC policy
  • To be flexible and work to tight deadlines when required
  • To conduct a risk based analysis on existing clients with a view to forming an opinion as to the suitability from a KYC perspective of individual clients to conduct business with SGCIB
  • Perform FORCES checks when required
  • Support “New Business” requests as required
  • Carry our appropriate due diligence checks and information searches in line with standards, undertaking additional reputation checks as and when necessary (dependent upon the risk of the client), and to raise any concerns (AML, CTF, regulatory) to Compliance via a detailed Compliance report
  • To assist the KYC team and KYC Manager with training sessions to the Business Lines if required
  • To support KYC Review Team Manager with any ad-hoc requests
  • Participate in KYC meetings with Compliance where requested ensuring all relevant information is passed to Team Manager – ad hoc
  • Participate in KYC meetings with relevant Business Lines as directed by Team Manager
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KYC Analyst Resume Examples & Samples

  • To provide guidance to the Front Office (‘’FO’’) in respect of the KYC requirement of SGCIB London Branch
  • To proactively manage the onboarding of clients by executing all the best practices stipulated by the KYC policy handbook
  • To ensure that the statutory and mandatory information provided by the front office in connection with the “take-on” of new clients is relevant, complete and fit for purpose, and that take-ons are conducted in accordance with SGCIB and Compliance KYC policy
  • To be flexible and work to tight deadlines when required (for example, with urgent requests from the Business Line) on the take-on of new clients
  • Experience with lending product KYC an asset
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Kyc-analyst Resume Examples & Samples

  • Support and secure the business development
  • Respect local constraints defined by the local regulators
  • Report to the Credit Risk Team manager
  • Initiate the KYC form both for onboarding and for recertification
  • Ensure the collection of the documentation required for each KYC files with the sales teams and through research (client websites, regulators, financial information suppliers, etc.)
  • Perform controls
  • Elaborate reports and analysis to be presented to senior Management as part of the Due Diligence and KYC processes
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KYC Analyst Resume Examples & Samples

  • Familiarity with Japanese AML/KYC regulatory and compliance issues particularly in the banking and investments sectors, to ensure our KYC standard is compliant with local regulatory requirements
  • Fluent in written and spoken English and Japanese languages
  • Eagerness to learn and to keep abreast of AML latest issues and regulatory changes
  • Two to five years working experience in a financial institution, with at least two years performing KYC (Know Your Client), client onboarding or client due diligence for corporate and institutional customers
  • Business Lines (internal customers), KYC network as well as other relevant departments including Compliance and Operations, Risk in order to complete the KYC validations as efficiently as possible
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KYC Analyst Resume Examples & Samples

  • Ensure KYC forms are prepared accurately
  • Review entire KYC files ensuring that attachments support the information in the file
  • Experience conducting EDD analyses on foreign correspondent banking customers
  • Experience identifying trends/patterns in foreign correspondent banking (e.g., nested activity)
  • Coordinate with ACoD CIU Quality Assurance to make sure that lessons learned from QA results are incorporated into AO, BLCO & Client Intelligence Unit activities
  • Request and evaluate a vendor performed search to determine whether the client is a politically exposed person (PEP Search), is the subject of negative press (Negative Press Search), is subject to government sanctions or internal restrictions (Security Search), or has been the subject of any negative compliance-related
  • 1-3 years’ experience in Financial Crimes compliance auditing