KYC Periodic Review

4 months ago

Sydney, Australia Anton Murray Consulting Full time

Sydney
Wealth Management
Contract or Temporary

Our client is a leading Private Wealth Manager seeking an experienced KYC  candidate to join their team for an initial 12 month contract in their Sydney office.  

This position lies with the Account Management Team, a team that is responsible for ensuring that Know Your Client (KYC)  documentation throughout the client lifecycle is maintained, complies with the firm’s global standards and any additional local regulatory requirements

The successful candidate will be required to support processes including Client Identification Program (CIP) KYC review and remediation across all risk levels and Politically Exposed Persons (PEP) reviews. The person will be responsible for timely resolution of Sales queries and requests from Global Financial Crimes (GFC),  Compliance Testing and Audit teams

The ideal candidate will have Private Banking & Wealth Management Strong Knowledge of KYC documentation (CIP, Ownership and SOW), industry regulations and best practices from another top-tier global Bank. 

This role will be hired on an initial 12 month Contract with the intention of extension/transition to a permanent role. Furthermore, as our client is not considering sponsorship at this time, only applicants with full working rights will be considered.

Key Responsibilities 

  • Support all operational processes for KYC review and remediation of  clients across all risk levels, and Politically Exposed Persons (PEP) reviews.
  • Review documentation provided by clients and Sales and follow up on missing documentation or inconsistent information with the firm’s records.
  • Review and validate the accuracy of values that impact client’s ML/TF risk, with focus on Source of Wealth and Total Net Worth.
  • Ensure periodic review and relevant approval records are retained properly in internal database and monitor the receipt of any outstanding documentation within required timeframe
  • Continuous and active engagement with Sales teams to share KYC and ML / TF related guidance, with the objective to improve the standard and quality of KYC and client due diligence across the firm
  • Responsible for timely resolution of Sales queries and requests from Global Financial Crimes (GFC), Compliance Testing and Audit Teams.

Requirements:

  • Strong Knowledge of KYC documentation (CIP, Ownership and SOW), industry regulations and best practices.
  • Strong analytical and organizational skills.
  • Strong sense of ownership and teamship. Able to work both independently and with a team in a dynamic environment with high pressure on timeliness and quality of deliverables.
  • Strong communication skills to effectively and clearly instruct/ advise Sales teams and other stakeholders.
  • Ability to articulate issues concisely and communicate effectively with different levels of seniority across the organization.

Education and/or Experience:

  • Bachelor’s degree in Accounting/ Finance/ Banking required or equivalent education or experience.
  • Strictly ~3-5 years’ experience within KYC/Financial Crime – Our client is very particular about the level of experience as they’re looking for candidates with very solid foundational experience that they can train up with their own processes.
  • Ideally with previous experience in Compliance or Risk within a private bank or onboarding / periodic review in a top-tier bank – retail banking experience is not immediately relevant.

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