KYC Compliance Specialist

7 days ago

Toronto, Ontario, Canada SMBC Group Full time

Job Summary

The KYC Analyst will play a crucial 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

  • 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.
  • Perform adverse media, PEP, and sanctions screening of customer names, affiliated parties, and account affiliated parties.
  • Conduct KYC periodic reviews of customer profiles and documentation with frequency based on the risk level of the customer.
  • Conduct KYC off-cycle and trigger-based reviews based on changes to customer circumstances.
  • Adhere to the KYC Periodic Review schedule and identify/escalate any issues promptly.
  • Review and adjudicate sanctions screening alerts for wire payments and customer, affiliated parties, and account affiliated parties.
  • Support the KYC Team's adherence to the Branch's record retention requirements.

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 with relevance to KYC/AML.
  • Excellent organizational skills, problem-solving, and decision-making abilities.

About SMBC

SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at .

SMBC is an EO employer – M/F/Veteran/Disability

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