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Dexian · 1 day ago

KYC Onboarding Associate – Investment Management

New York, NY

Full-time

Hybrid

New Grad, Entry Level

$100K/yr - $110K/yr

Dexian is a leading provider of staffing, IT, and workforce solutions. They are seeking a Client Onboarding Associate to support onboarding activities for Investment Advisors and Fund clients, ensuring compliance with AML, KYC, and regulatory requirements prior to account opening.

ConsultingHuman ResourcesInformation TechnologyProfessional ServicesStaffing Agency

Hiring Manager

Jaydeep Gajjar

Responsibilities

Support the end-to-end onboarding process for Investment Advisor and Fund clients within Compliance Operations

Independently prepare and review KYC, CDD, and Enhanced Due Diligence (EDD) documentation in accordance with FinCEN, AML, and internal risk-based policies

Conduct OFAC, sanctions, and adverse media (negative news) screening on clients and related parties, assessing and escalating risk as appropriate

Review and evaluate Dodd-Frank regulatory disclosures, determining completeness and sufficiency based on regulatory requirements

Analyze Investment Advisor organizational structures to determine when full KYC onboarding versus streamlined onboarding is appropriate

Ensure all onboarding files meet internal audit standards and global compliance policies through sound judgment and thorough documentation

Act as a primary point of contact for Front Office and clients, coordinating the collection, review, and remediation of required onboarding documentation

Partner with internal teams including Legal, Compliance, Sanctions, Regulatory, Tax, and Operations to resolve issues and ensure timely account openings

Utilize Investment Adviser Public Disclosure (IAPD) and SEC EDGAR systems to validate regulatory filings and client information

Review onboarding and regulatory documentation such as RIA filings, QIB documentation, Rule 2111 forms, AML Wolfsberg Questionnaires, Accelerated Onboarding forms, and Prime Brokerage agreements

Identify opportunities to improve onboarding efficiency and support process enhancements where appropriate

Manage and prioritize multiple onboarding cases simultaneously to meet regulatory and business deadlines

Assign and validate appropriate industry classification codes (e.g., SIC/Sector codes) as part of client risk profiling

Qualification

KYCAMLRisk-based due diligenceSanctions screeningRegulatory onboardingInvestment Advisor structuresDeadline-drivenAttention to detailCommunication skillsIndependent work

Required

Bachelor's degree or equivalent professional experience

Prior experience in client onboarding, KYC, AML, or compliance operations within financial services, investment management, banking, or related environments

Strong understanding of risk-based due diligence, AML regulations, and regulatory onboarding requirements

Experience conducting sanctions, OFAC, and adverse media screening

Familiarity with Investment Advisor structures, regulatory filings, and public disclosure systems (IAPD, EDGAR)

Exceptional attention to detail with the ability to handle sensitive and confidential client information appropriately

Strong written and verbal communication skills, with confidence engaging directly with Front Office and external clients

Proven ability to work independently with minimal supervision, manage competing priorities, and provide clear status reporting

Ability to thrive in a deadline-driven, regulated environment