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KYC Team Lead

4.00 to 7.00 Years   Mumbai City   19 Jun, 2020
RiverForest Connections Private Limited
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaGeneral / Other Software
EmploymentTypeFull-time

Job Description

Job Responsibilities:

  • Train and lead a team of KYC Analysts responsible for conducting customer due diligence and account refresh on certain existing and prospective accounts.
  • Conduct supervisory reviews and provide constructive feedback to Analysts.
  • Support aspects of client on-boarding to ensure compliance with Anti-Money Laundering (AML), Know Your Customer (KYC), Customer Information Program, USA PATRIOT Act, and FinCen guidance requirements.
  • Analyze client data, documentation, and negative news in order to understand a client risk profile as established under AML and KYC procedures.
  • Perform research via internal and external sources, and collect and analyze documentation in accordance with regulatory and KYC requirements.
  • Review negative media alerts from client screening tools (e.g., World-Check).
  • Conduct transaction monitoring and other surveillance reviews.
  • Have a good working knowledge of SEC, FINRA, CFTC, NFA, and state and foreign regulations related to AML and KYC requirements.
Qualification
  • College degree is required . Acceptable majors include: Finance, Accounting, or Information Systems.
  • 4- 6 years experience.
  • Knowledge of the SRO, Broker Dealer and/or FCM environment, and equities and equity-linked products is key.
  • High proficiency with desktop applications and MS Office suite of products is required.
  • Must be comfortable working in an automated, hands-on environment.
  • Excellent written and oral communication skill sets are important prerequisites.
Additional preferred Skills :
  • Knowledge of UNIX, SQL, Perl is a plus.
  • Experience with an SRO, Broker Dealer or FCM.
  • Experience within a Compliance Department, internal audit, legal or a control function of an SRO, BD or FCM.
  • Trading background with the ability to understand and breakdown complex trading strategies.
,

Keyskills :
msofficesuite usapatriotact msoffice duediligence internalaudit highproficiency oralcommunication constructivefeedback financialjustification transactionmonitoring sql kyc sec perl unix risk cftc finra fincen ntimoneylaundering

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