KYC Compliance Specialist

1 month ago

Toronto, Ontario, Canada SMBC Group Full time
Job Title: KYC Analyst

About the Role:

The KYC Analyst will play a critical role in ensuring the Branch's compliance with legal and regulatory requirements related to Know Your Customer (KYC) and Anti-Money Laundering (AML). The successful candidate will be responsible for conducting key KYC/AML tasks, including customer onboarding, periodic reviews, and maintenance of customer information in Branch systems.

Key Responsibilities:Compliance and Risk Management:
  • Support Branch Front Office Teams in executing KYC, CDD, and EDD requirements for all new and existing customers and non-customers.
  • Maintain accurate and complete customer information in the KYC/Customer Information File (CIF) System.
  • Ensure KYC/AML information is up-to-date based on documents/instructions received from clients and/or independently sourced by the Branch.
  • Analyze and advise on KYC requirements for new and existing customers based on products being requested.
  • Perform adverse media, PEP, and sanctions screening of customer names, affiliated parties, and account affiliated parties.
File Management:
  • Create and maintain an organized customer folder structure on a shared drive for easy access to KYC Customer files.
  • Assess corporate documents for KYC/AML compliance.
  • Assist administration teams with centralized electronic filing of KYC/AML documentation in the Branch's document management system.
Customer Service and Outreach:
  • Follow up on outstanding documentation requests with Front Office staff.
  • Provide timely and accurate responses to customer inquiries.
Training and Development:
  • Provide training and guidance to team members and/or branch staff on KYC/AML activities, procedures, and systems.
  • Report training needs to the Team Leader for assessment and action.
Reporting and Metrics:
  • Support the compilation, analysis, and reporting of recurring metrics and management reporting.
  • Prepare and circulate department reports internally.

Requirements:

  • Bachelor's degree in business, economics, or a similar major.
  • Minimum 3 years of progressive experience in a KYC, compliance, and/or AML role, preferably from a federally regulated financial institution or regulator.
  • Working knowledge of Canadian AML legislation and regulations, as well as FINTRAC guidance related to KYC/AML.
  • Excellent communication, organizational, and problem-solving skills.

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