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MUFG · 1 month ago

AVP- Securities Client Onboarding and KYC

New York, NY

Full-time

Hybrid

Mid Level

$90K/yr - $110K/yr

3+ years exp

MUFG is one of the world’s leading financial groups, dedicated to making a difference for clients and communities. The AVP of Securities Client Onboarding and KYC will coordinate with internal partners to manage client onboarding and KYC processes, ensuring compliance with regulatory obligations while contributing to workflow improvements.

Responsibilities

Coordinates with internal partners such as Front, Middle, Back Office staff and clients to obtain required information and applicable documentation related to client on-boarding and ad hoc production

Initiates and completes new to bank KYC files and high-risk reverifications inclusive of data input, research and analysis

Identify data anomalies and assist on root cause analysis to minimize errors

Maintain detailed tracking of KYC file status and other customer record activities to ensure completion within required timeframes

Independently manage multiple simultaneous requests inclusive of customer data maintenance in a high-pressure work environment

Promptly address queries and assist with problem-solving matters received from applicable Bank personnel

Maintain working knowledge of all regulatory obligations and be able to relate them to MUFG policies and procedures

Remediate erroneous customer data

Identify, detect, or report suspicious activities in banking and finance services

Serve as a Subject Matter Experts (SME) – for core internal bank system and onboarding & KYC procedures

Independently manage multiple simultaneous requests inclusive of customer data maintenance in a high-pressure work environment

Contribute to workflow or process redesign to achieve efficiency

Manage and deliver individual projects as assigned

Other duties as assigned

Qualification

Anti-Money LaunderingBroker Dealer KYCKYC/AML PolicyClient Life Cycle ManagementData GovernanceSuspicious Activity Reporting3rd Party ToolsMS Office ProficiencyAttention to DetailProblem SolvingCommunication SkillsTime Management

Required

Minimum of 3-5 years of prior experience in the field of Anti-Money Laundering in financial services industry with understanding of banking products and services with an emphasis on Securities products

Strong understanding of the Broker Dealer KYC requirements

Knowledge in client life cycle management, in particular related to markets and experienced in a fast paced flow business

Solid knowledge of KYC/AML and data governance policy and understanding of business activities, compliance/risk issues

Solid understanding of business activities, compliance / risk issues

Knowledge of business lines served, including correspondent banking and foreign financial institutions

Knowledge of and ability to identify, detect or report suspicious activities in banking and finance services

Worked in KYC First Line of Defense

Knowledge of and ability to utilize tools, techniques and processes for gathering data utilizing 3rd party tools such as Dealogic, Dun Bradstreet, LexisNexis, government registries, etc

Knowledge of various types of customers and ability to analyze customer activities, profiles and source information

Excellent attention to detail, organized approach and strong problem solving/facilitation abilities

Mature approach with excellent influential communication (verbal/written) skills

Strong time management, work organization and multi-tasking skills with a drive for efficiency, accuracy and risk management controls while maintaining 100% dedication, excellent attitude and flexibility

Proficiency in MS Office - Word, Excel, PowerPoint

Bachelor's degree in Computer Science or a closely-related discipline, or an equivalent combination of formal education and experience