KYC Officer - VP

Description:
International Clearing Firm seeks KYC Officer - VP.

Responsibilities:Manage staff of 1-2Manage the implementation of a firm-wide risk based periodic KYC review scheduleDevelop a tracking and escalation process for incomplete KYC reviewsSupervise the testing of KYC filesCreate and update KYC policies and proceduresLead a project to develop online centralized document storageAssist migration of KYC files to a new online platformOversee training and education initiativesEvaluate KYC platforms and solutions

Qualifications:3+ years relevant experienceCompliance/Anti-Money Laundering experience (e.g. KYC or Customer Identification experience)Working knowledge of Introducing Broker Dealers and FINRA regulationsWorking knowledge of Registered Investment Advisors, the Investment Company Act of 1940 and SEC Investment Advisor disclosure requirements Working knowledge of non-U.S. securities regulations (e.g. the Financial Services Authority)Previous experience managing an AML "look-back" projectKnowledge of the financial and securities industry and books and records best practices are preferredExcellent project management, interpersonal, and communication skillsProven database management skillsUndergraduate degree (3894B~)

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