AML Onboarding Associate
Supports customer onboarding and ongoing due diligence by reviewing identification documents, assessing risks, resolving exceptions, and handling monitoring alerts in line with AML, CIP, and CDD regulations. Requires 2-5 years client onboarding experience at a broker-dealer and familiarity with KYC tools.
About the job
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.
Skills
Kyc, Cip, Cdd, World Check, Clear, AML, Customer Onboarding, Due Diligence, Sanctions Screening, Pep Screening
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