Kyc Analyst

2 months ago

Toronto, Canada Sumitomo Mitsui Banking Corporation Full time

**Role Description**:
The position is primarily responsible to conduct key KYC/AML tasks including customer onboardings, KYC periodic reviews, action from material/non-material trigger events, and maintenance of customer information in Branch systems (i.e., KYC system). The KYC Analyst will play an important role to ensure continuous compliance by the Branch with legal and regulatory KYC/AML requirements.

The KYC Analyst will provide assistance and support to other team members, to Branch staff (i.e., Relationship Managers) and to the Department Head/Team Leader of the KYC Department.

**Key Accountabilities**:
**KYC/AML Compliance**
- Responsible for supporting Branch Front Office Teams in executing the Branch’s Know Your Customer (KYC), Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) requirements, as applicable, on all new and existing customers and non-customers.
- Responsible for the accurate and complete opening and input of new customers in the KYC / Customer Information File (CIF) System
- Responsible for maintenance of key customer data in the relevant product-level sub systems of the Branch.
- Responsible for ensuring that KYC/AML information is kept up to date based on documents / instructions received from clients and/or as independently sourced by the Branch during KYC periodic reviews.
- Responsible for analyzing and advising on KYC requirements for new and existing customers based on the products being requested.
- Responsible for performing adverse media, politically exposed person (PEP) and sanctions screening of customer names, customer affiliated parties and account affiliated parties prior to input into the respective system(s).
- Responsible for the circulation of new customer onboarding information for Branch Management approval.
- Responsible for conducting KYC periodic reviews of customer profiles and documentation with frequency based on the risk level of the customer.
- Responsible for conducting KYC off-cycle and trigger-based reviews (i.e., based on changes to customer circumstances).
- Responsible for adherence to the KYC Periodic Review schedule as well as ad-hoc timelines driven by business need, including identifying and escalating any issues promptly.
- Responsible for reviewing and adjudicating sanctions screening alerts for wire payments in the Branch’s sanctions screening system.
- Responsible for reviewing and adjudicating sanctions screening alerts for customer, customer affiliated parties and account affiliated parties in the Branch’s sanctions screening system.
- Responsible, as assigned, for reviewing and adjudicating AML transaction monitoring alerts in the Branch’s transaction monitoring system.
- Other compliance related projects or tasks as assigned.

**File Management**
- Creation and maintenance of an organized and accurate customer folder structure, which is saved on a common shared drive to ensure easy access to KYC Customer files.
- Responsible for assessing whether corporate documents such as incumbency certificates, banking resolutions, etc. meet the KYC/AML requirements of the Branch.
- Responsible for assisting administration teams with the centralized electronic filing of KYC/AML related documentation in the Branch’s document management system.
- Support the KYC Team’s adherence to the Branch’s record retention requirements, such as but not limited to archiving expired / closed documentation for off-site storage or initiating destruction in accordance with applicable record retention policies.

**Customer Service & Outreach**
- Follow-up on outstanding documentation requests with Front Office staff.
- Timely and accurate response to customer enquiries as required.

**Training**:

- Provide training and guidance to team members and/or branch staff in relation to KYC/AML activities, procedures, requirements and/or systems.
- Report any training needs to Team Leader for assessment and/or action.
- Complete cross training for broader Corporate Compliance & AML Compliance activities as assigned by Team Leader and/or Executive Director of AML Compliance.

**Reporting & Metrics**
- Support the compilation, analysis & reporting of recurring metrics and/or management reporting.
- Preparation and circulation of department reports (shared internally).

**Delegated Approvals**
- Complete relevant approvals for Department Head/Section Head when tasks within the KYC Team have been delegated.

**Qualifications and Skills**:
**Education**:

- Bachelor’s degree is required, ideally in business, economics, or similar major. A professional designation is an asset.

**Experience**:

- Minimum 3 years of progressive experience in a KYC, compliance and/or AML role, preferably from a federally regulated financial institution (bank) or regulator.
- Preferably 2 years of experience in commercial/corporate banking.

**Skills**:

- Working knowledge and experience in the operation of a Schedule III foreign bank branch.
- Working knowledge of the Cana

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