What is the opportunity?
Do you consider yourself a self-starter with willingness to take the initiative and ability to multi-task? As a KYC Analyst you utilize your excellent communication skills, strong organizational skills and strong technical / analytical skills in order to ensure that Know Your Client (KYC) Due Diligence processes are conducted and completed accurately prior to establishing trading relationships with customers.
What will you do?
Lead and Manage Global KYC Refresh process for Capital Markets in line with global and reqional regulatory requirements.
Ensure that management controls, designed to minimize the operational errors that occur, are in place and working effectively.
Create training programs and playbook for internal and external resources on regional KYC requirements and GCDS processes and applications.
Document KYC Refresh processes and incorporate policy requirement changes as they are made.
Monitor quality of work being completed by KYC refresh team, highlight issues, deviation from procedures and report issues to management
Work with regional Compliance teams to raise commonly encountered issues, completion of high risk reviews and obtain consensus to streamline requirements globally.
Track and Report status updates to key stakeholders including CMG Management, Compliance and Front Office.
Ensure weekly reports are created with accurate data and distributed on time.
Respond to regulatory queries from internal business partners and escalate to management when potential issues are found.
Guide and motivate the team to ensure that all refresh follows the KYC/AML guidelines set out in the firms AML Policy.
Creation and management of plans for the annual refresh pipelines.
Resolve noncompliance issues and identify and resolve gaps of noncompliance.
Work closely with the Account Management team on account closures for noncompliant and inactive accounts/clients.
Track documentation that cannot be obtained via internal or public sources and escalate for outreach to clients.
What do you need to succeed?
Minimum 7 years of recent KYC/AML experience with a financial institution.
BA/BS or equivalent
Indepth knowledge of global Regulatory requirements (IIROC, FINRA, FCA, OFSI, IRS, etc.) and/or experience working with regulatory or rulebased environments.
Familiarity with Capital Markets products, trade systems and business lines.
Supervisory and coaching/training experience.
Prior experience in leading a small team
Reporting and tracking using tools such as MS Excel, Access, SQL.
Advanced knowledge of CDR, Goldtier, CM trading and settlement applications
High level of client focus with the aptitude to drive results and provide constructive feedback.
Creative thinker with problem solving skills.
Very good organizational skills with strong time management.
Excellent verbal and written communication skills.
Coaching and leadership abilities.
Certified Anti-Money Laundering Specialist (CAMS) designation
Any financial accreditations such as the Canadian Securities Course (CSC) or CFA are assets
Operations or Technology degree, background, or experience
What’s in it for you?
We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
Work in a dynamic, collaborative, progressive, and high-performing team
Opportunities to do challenging work
Opportunities to build close relationships with clients
Access to a variety of job opportunities across business and geographies
Address: 155 Wellington Street West
Work Hours/Week: 37.5+
Work Environment: Office
Employment Type: Permanent
Career Level: Experienced Hire/Professional
Pay Type: Salaried
Position Level: CM - Vice President
Required Travel(%): 0-25
People Manager: Yes
Application Deadline: 06/09/2020
Req ID: 247136