SMBC Group · 18 hours ago
KYC Periodic Review Associate Team Lead
Jersey City, NJ
Full-time
Hybrid
Mid, Senior Level
$75K/yr - $120K/yr
7+ years expSMBC Group is a top-tier global financial group offering a range of financial services. They are seeking a KYC Periodic Review Associate Team Lead to lead a high-performing team responsible for executing periodic reviews and ensuring compliance with KYC due diligence and AML program requirements.
AdviceBankingFinancial Services
Responsibilities
Lead and develop a high‑performing team responsible for executing periodic reviews, maintaining documentation standards, and delivering high‑quality KYC due diligence
Provide direction and oversight to ensure all client and KYC records are accurate, complete, and fully compliant with Anti‑Money Laundering (AML) program requirements and internal policy standards
Drive process excellence by monitoring team output, identifying areas for improvement, and ensuring quality controls are embedded throughout the review lifecycle
Serve as a point of escalation for complex cases, providing subject‑matter expertise and partnering with Compliance and Front Office when needed
Provide day‑to‑day leadership for the team responsible for processing periodic reviews and conducting KYC due diligence
Ensure that client and KYC information is reviewed accurately and in full compliance with AML program requirements
Oversee the verification and documentation of KYC data points, guide the team in collecting and evaluating supporting documents based on client and business needs, and ensure the consistent execution of due diligence in accordance with KYC policies and procedures
Manage the maintenance and proper archiving of all records supporting KYC completion, ensuring adherence to document‑retention standards
Monitor team output to identify missing or incomplete information, direct the return of incorrect submissions for remediation, and ensure that discrepancies are resolved using approved processes and checklists
Escalate unusual or suspicious activity to the front office and Compliance as appropriate
Supervise and spot‑check the entry of client information into KYC system, ensuring that applicable documentation is uploaded, processed, and confirmed in a timely and accurate manner
Track and enforce production and accuracy targets, providing guidance, feedback, and support to maintain consistent performance and compliance standards
Communicate with customers / clients and internal stakeholders in order to coordinate the collection and assessment of KYC documentation and other compliance information
Communicate the status of periodic reviews to internal and external stakeholders, and efficiently move periodic reviews through the process, interacting with legal, tax and other support functions, as required
Facilitate day-to-day interaction with internal business units to respond to processing requests and instructions, manage expectations and address issues and inquiries
Collaborate with internal partners within operations and other support functions in order to streamline operations processes and participate in continuous improvement initiatives
Demonstrate solid knowledge and understanding of processes for conducting KYC for institutional clients as well as the documentation requirements for different types of accounts
Act as a subject matter expert on KYC rules and policies and associated execution / implementation
Demonstrate good understanding of risk factors impacting client risk rating and ability to write comprehensive audit reports that define salient actions for execution
Demonstrate and maintain good working knowledge of all applicable regulatory standards and rules (e.g., AML, OFAC, Bank Secrecy Act, etc.)
Qualification
Required
7 years of experience in KYC or related field
Solid knowledge and understanding of processes for conducting KYC for institutional clients
Knowledge of documentation requirements for different types of accounts
Ability to act as a subject matter expert on KYC rules and policies
Good understanding of risk factors impacting client risk rating
Ability to write comprehensive audit reports that define salient actions for execution
Good working knowledge of all applicable regulatory standards and rules (e.g., AML, OFAC, Bank Secrecy Act, etc.)
Benefits
Annual discretionary incentive award
Competitive portfolio of benefits
Company
SMBC Group
SMBC Group is a top-tier global financial group.
10001+ employees
H1B Sponsorship
SMBC Group has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (160)
2024 (87)
2023 (73)
2022 (44)
2021 (29)
2020 (26)
Funding
Current Stage
Late StageLeadership Team
Hirofumi Otsuka
Senior Managing Executive Officer & CEO of Americas Division
Juan Kreutz
Head of Structured Finance Solutions and Deputy Head of the Americas
Recent News
Company data provided by crunchbase