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KYC Maintenance Specialist in Wealth Management

2 months ago

Sydney, New South Wales, Australia Anton Murray Consulting Full time

Location: Sydney or Melbourne

Position Type: Contract or Temporary

Our client, a prestigious global Wealth Management firm, is in search of a skilled KYC Maintenance Specialist to enhance their Account Management Team. This role offers an initial contract period.

Ideal Candidate Profile:

The successful candidate will possess experience in wealth management, retail equity broking, client onboarding, KYC, and AML, with a solid understanding of both UK FSA and Australian regulations.

Key Responsibilities:

  • Facilitate account openings for sub-accounts, SMAs, and OTC product accounts.
  • Review and process changes to static data, including updates to contact information and account profiles.
  • Assess and process trigger events that necessitate CDD reviews due to changes in client circumstances.
  • Monitor and manage various requests within the Workflow system, ensuring compliance with signature verification protocols.
  • Handle deceased estate matters, including notifications, account blocking, and executor additions.
  • Review and process Power of Attorney requests for both domestic and international accounts.
  • Conduct daily monitoring of Enhanced Due Diligence reports for high-risk accounts.
  • Initiate EDD processes for accounts identified as high-risk.
  • Address inquiries from front office personnel.
  • Engage in ad hoc tasks such as project work, client communications, and regulatory reporting.

Additional Information:

  • The KYC Maintenance role encompasses a diverse range of tasks, focusing on trigger events that require KYC profile reviews.
  • This position demands multitasking and enhanced communication with business units.

Qualifications and Experience:

  • A Bachelor's degree or equivalent experience is required.
  • A minimum of 3 years in the financial services sector, with experience in Risk and Compliance within a private banking environment or onboarding processes at a top-tier bank.
  • Comprehensive understanding of global AML/KYC standards, particularly Australian and UK FSA regulations.
  • Exceptional analytical and organizational abilities.
  • Strong communication skills to effectively guide Sales teams and stakeholders.
  • Capability to articulate issues clearly and concisely.
  • Adept at working independently and collaboratively in a fast-paced environment.
  • In-depth knowledge of KYC documentation and industry best practices.

Compensation: Competitive daily rate plus superannuation, commensurate with relevant experience.