KYC Quality Assurance - Onboarding Operational Control AVP (Finance)

Job Description:

Experienced BSA/AML professional within the KYC Onboarding Operational Control team to perform a high-quality 4-eye (QA) review of the KYC for new clients.

Knowledgeable and experienced BSA/AML individual reviewing onboarding KYC, both onshore and off shore, ensuring client files are completed according to industry, regulatory and Mizuho standards. Close coordination with the business lines, Compliance, Audit and internal and external clients.

Duties in performing a high quality 4-eye review will include verification of client data, performing due diligence checks, reviewing KYC documentation, risk assessment, liaising with the Business and Compliance/AML teams and advising on KYC requirements. This role is responsible for monitoring the 4-eye review of KYC onboarding review files for business lines according to Client Due Diligence and Enhanced Due Diligence requirements. Work closely with peers within Client Management (CLM) to ensure operational targets are met. This role requires a hands on approach.

Key Responsibilities:

• Primary responsibility will be to focus on high quality 4-eye reviews to ensure CDD and EDD regulatory requirements are met, required documentation is accurate/comprehensive.
• Liaise with Front Office, Compliance, IT and Operations as necessary to enhance process and update procedures.
• Work with the Operational Control Manager in close coordination with Compliance, to provide clarity and reasonableness in process for any changes to policy.
• In completing the 4-eye check, identify training needs with the Operational Control Manager that will benefit the CSG Onboarding Team to increase efficiency and quality.
• Assist with departmental process improvements and implementation of process changes as required.
• Make decisions that are effective based on guidelines, policies and insights.
• Communicate with Front Office, Compliance and Clients when needed to support the documentation requirements for the completion of Onboarding Reviews.
• In coordination with the Operational Control Manager assist in the process of audits, data remediation and ad hoc requests.
• Assist in the creation and back up support of reporting for both Onboarding Control and Onboarding teams.
• Any additional items as necessary.

Skills:

• Minimum 3 - 5 years' experience of KYC processes and regulations, preferably as it relates to performing QA reviews of KYC files
• Solid foundation of BSA/AML regulation
• Knowledge of market practices related to KYC operations
• Good judgement, sense of urgency and accountability; time management; organizational and problem solving skills
• Adaptable to changing priorities based on business needs
• Ability to execute in a high pressure environment
• Good interpersonal skills and team player
• Strong work ethic and flexibility to work extended hours to meet deadlines when necessary
• Strong written and verbal communication skills
• Proven ability to meet or exceed quality standards
• Exceptional attention to detail

The expected base salary ranges from $77,000.00 -$130,000.00. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications and licenses obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.

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