Assistant Manager, Global Periodic and Regulatory Refresh

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Title: Assistant Manager, Global Periodic and Regulatory Refresh

Requisition ID: 278790
Employee Referral Program – Potential Reward:$1,000.00
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The Role

As Assistant Manager, Global Periodic and Regulatory Refresh, you will lead the ongoing refresh of client data and documentation for our Global GBM clients, ensuring it is completed accurately, on time, and in line with KYC/AML and other regulatory requirements. Working closely with bankers, relationship managers, Compliance, and other internal partners, you will oversee a team of analysts, manage multiple projects, and help identify opportunities to improve processes as regulations and technology evolve.

Is this role right for you? In this role, you will:

• Refresh data and documentation for existing clients on an ongoing basis per periodic reviews cycle in accordance with firm’s policies, standards and procedures
• Support KYC/AML, facilitating the refresh of Global GBM clients in an efficient, compliant, and client-centric manner
• Interacting with bankers and relationship managers to obtain required information
• Conduct follow up with internal partners to ensure timely actions on those cases that require their input
• Update firm systems and databases with information / documentation obtained from clients
• Handle inquiries and ad hoc requests from internal clients including Compliance where required
• Produce high quality error free work independently on a timely basis with at expected throughput rates
• Ability to handle volume spikes and prioritize work including ad-hoc requests and projects to meet business demands in a timely manner
• Understand and keep abreast with regulatory/ tax requirements for clients in KYC
• Identify potential areas of improvement and respond to change e.g. regulation change, new business and/or technology projects
• Assist manager(s) in providing status updates to management on a regular basis to create transparency and to reduce risks
• Demonstrates strong leadership skills with the ability to effectively manage multiple analysts and oversees various projects simultaneously
• Support in any activities required for refresh of the Global GBM clients
• Be consistently thorough, accurate, and credible when performing duties
• Perform duties within established service level requirements
• Escalate any issues, as appropriate, in a timely manner
• Exhibit the highest standards of customer service to partners and customers

Do you have the skills that will enable you to succeed in this role? – We’d love to work with you if you have:

• 1 to 3 years’ direct industry experience in Capital Markets and Corporate/Investment Banking, having covered multiple product areas. An undergraduate and/or graduate degree in Finance, Business, Economics, or a related discipline is required
• The incumbent must have experience in and knowledge of current and expected future regulatory frameworks impacting client onboarding in Canada/UK/Ireland/APAC/CB/SBS and US – namely, KYC / AML, FATCA and G20 OTC derivative reform
• Prior experience of working on applications such as World Check, Fenergo, etc.
• The position requires business acumen, judgment, critical thinking and time management skills. The incumbent should possess strong interpersonal, communication and negotiation skills in order to build consensus and obtain co-operation from clients, colleagues, and senior management
• A good understanding of the capital markets business is necessary. The incumbent must have broad knowledge of the end-to-end workflows among the Front, Middle, and Back Offices
• The international scope of the business, together with the multiplicity of stakeholders, may require work outside of traditional business hours from time to time
• Demonstrate teamwork, collaboration, responsiveness, accountability, and ownership, with a preference for candidates who have previous management experience
• Quick learning ability to understand policies, procedures, systems, process and controls
• Compliance knowledge applicable to the Financial Services industry, including relevant professional certification on AML/CFT, e.g., ACAMS Certificate
• Written and verbal proficiency in English is mandatory

Working Conditions

Work in a standard office-based environment; non-standard hours are a common occurrence.

What’s in it for you?

• Opportunity to engage with various GBM business groups on KYC/AML topics and client outreach activities
• Opportunity to enhance knowledge of GBM’s global product offering, business lines and functional processes, as well as gain exposu