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KYC/Client Onboarding Manager - Fintech

  • Location: New York, NY
  • Job Type: Direct Placement
  • Ref No: 21-02493
  • Date: May 03, 2021
  • Job title:

Job Description - KYC/Client Onboarding Manager - Fintech



The Manager of the Client On-boarding Team will partner with the client-facing teams to ensure all client KYC records are compliant with regulatory standards. Further, the incumbent will ensure a high degree of accuracy, data quality and timely completion of all client-level due diligence requirements at the onset of the client’s relationship with the firm. Additionally, this same rigor will be applied to all annual and periodic reviews of client relationships. In addition to owning the on-boarding / off-boarding of the client the manager will be responsible for the management and development of their respective team.

What You’ll Do

  Partner with the client facing teams to collect required legal documents and associated information to meet all regulatory and internal polices

  Support front office with onboarding new clients as well as periodic reviews of existing clients.

  Act as the clients’ point of contact by addressing their issues and concerns and providing resolutions to their onboarding queries in line with the firm’s internal policies, the regulatory environment and market practices.

  Manage the client onboarding process including:

      Prepare and submit Client Due Diligence files (KYC). Ensure accuracy of the information

      Gather and research information on clients to enrich requests (beneficial owners, shareholder information and other client intelligence)

      Analyze and determine account documentation required based upon counterparty type and products traded

  Undertake quality review of clients’ KYC records

  Act as a KYC and AML subject matter expert for all operations related queries

  Ensure the proper onboarding-related maintenance of our existing clients:

      Organize the planning for periodic documentation refreshes, based on vetting expiry dates

      Liaise with business owners to confirm the client activity and confirm the need for renewing on-boarding status or refer for off-boarding

      Update CDD forms and collect documentation for periodic reviews per the mandated timeline or as necessary based on changes that would trigger an event driven review

  Discuss and escalate with Compliance, complex issues surrounding client types and structures, financial products and services, and other AML risk-related issues

  Contribute to the continuous process improvement efforts and ensuring there are written and updated procedures.

  Oversee the implementation of new projects, processes and systems

  Act as the point of contact for all internal/external audits

  Keep abreast of regulatory and legal initiatives, highlighting significant AML/KYC/sanctions compliance issues and advising on implications of changes in regulation to the On-boarding process

What You Bring to the Table

  Strong written and oral communication skills; able to influence internal and external stakeholders

  Strong client focus and ability to partner with various internal groups and client coverage

  Independent, self-motivated, with ability to adapt and be flexible in a team environment

  Ability to demonstrate good judgement and decision making in escalating potential risk to the Firm

  Strong analytical, prioritization and organizational skills

  Strong risk and controls awareness

  Ability to successfully navigate a complex infrastructure that involves numerous groups and individuals

  Ability to work under pressure and to fixed deadlines

  Bachelor’s degree required

  5-7 years’ experience in financial services, operation or compliance fields

  Prior experience in AML/ KYC is required

  Client On-boarding and/or documentation analysis experience required

  Wide knowledge of financial products

  Computer savvy

  Series 99 preferred


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