AML Onboarding Associate

Responsibilities

• Gather and analyze information collected at account onboarding in accordance with the Firm’s Customer Identification Program (CIP) and Customer Due Diligence (CDD) Program requirements and assess customer risk.
• Review and validate customer identification documents (e.g. government-issued IDs, formation documents, beneficial ownership records).
• Research and address AML questions from the Active Division onboarding team.
• Resolve identity verification exceptions and escalate red flags appropriately.
• Ensure timely and accurate documentation of CIP / CDD results within the Firm’s books and records.
• Conduct CDD reviews, including customer risk assessments based on business type, geography, products, services and expected activity.
• Perform periodic and event-driven CDD refreshes in accordance with regulatory and internal requirements.
• Identify high risk customers and escalate cases that required Enhanced Due Diligence (EDD).
• Review and disposition of ongoing monitoring alerts including sanctions, PEP and adverse media alerts.

Experience and Skills

• Bachelor’s Degree or equivalent.
• 2-5 years of experience in client onboarding for a retail broker-dealer.
• Familiarity with KYC, CIP and CDD rules.
• Experience with onboarding platforms and screening tools (World Check, CLEAR).
• Strong attention to detail and ability to analyze customer information and documentation.
• Ability to identify issues and design effective solutions to address them.
• Excellent verbal and written communication skills.
• Self-starter and team player who is comfortable working in a fast-paced environment.

Compensation

Base Salary Range: $95,000-$110,000 (based on experience, skills, and location). Additional compensation includes bonuses and equity.