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KYC Analyst - Hybrid - Banking and Brokerage

  • Location: New York, NY
  • Job Type: Direct Placement
  • Ref No: 22-04202
  • Date: June 22, 2022
  • Pay: $85000.0 - $90000.0 per Year USD
  • Job title:

Job Description - KYC Analyst - Hybrid - Banking and Brokerage

KYC Analyst – Hybrid – Banking and Brokerage

The selected candidate will be responsible for various compliance tasks related to our institutional brokerage and banking businesses.

  • Responsible for the annual Know Your Customer (KYC) Review process as required by the bank's branch and broker/dealer's AML and OFAC policies and procedures.  This includes:
    • Establishing KYC Review Cycles for the client base of each of these legal entities
    • Maintaining a KYC Master List that identifies all information that must be collected during a KYC Review and coordinating with the appropriate business lines/account officers to collect any required information
    • Performing documentary reviews (validation of collected documents) and non-documentary reviews (internet research, screening parties for OFAC/Sanctions/PEP status and adverse news using World Check) on clients who are subject to a KYC Review
    • Validating any changes that may have occurred to the client since their onboarding or last KYC refresher
    • Tracking the progress on receipt of those reviews.
    • Maintaining client files and completion of the review process within prescribed deadlines.
  • Assist the CCO and BSA/AML Officer with data gathering for its annual business AML and OFAC risk assessments
  • Maintain the Branch's master client list
  • Update client information in the Branch's FIS/AML monitoring system
  • Administer and support the employee onboarding process, which includes performing pre-hire checks; collecting required onboarding forms; logging employee information into the firm's compliance systems so that appropriate compliance monitoring can occur; and administering new employee training
  • Support ongoing monitoring of employee activities (e.g., tracking approvals of outside business activities, private securities transactions, personal trading accounts, etc.) and facilitate the Annual Attestation Process to ensure all such activities have been reported
  • Assist with various Corporate Filings
  • Assist Branch CCO and BSA/AML Officer with various projects throughout the year


Candidates that possess the following, is a plus:

  • ACAMs certification
  • Bi-Lingual French/English (only verbal is fine)

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