AVP- Securities Client Onboarding and KYC

Mitsubishi UFJ Financial Group•Jersey City, NY

4d•Hybrid

About The Position

Join a financial group that’s as committed to your future as you are. At MUFG, we share a vision for our future, we share our successes, and we strive to bring out the best in each other in everything we do. Our 14,000 diverse colleagues are connected by a common ambition to create change for the better—from forging more dynamic career paths, to driving progress in our communities, to continuously reshaping the standards of global financial services. Positive impact starts here; see the change you can make as we strive to become the world’s most trusted financial group.

Requirements

Minimum of 3-5 years of prior experience in the field of Anti-Money Laundering in financial services industry with understanding of banking products and services with an emphasis on Securities products
Strong understanding of the Broker Dealer KYC requirements
Knowledge in client life cycle management, in particular related to markets and experienced in a fast paced flow business.
Solid knowledge of KYC/AML and data governance policy and understanding of business activities, compliance/risk issues
Solid understanding of business activities, compliance / risk issues
Knowledge of business lines served, including correspondent banking and foreign financial institutions
Knowledge of and ability to identify, detect or report suspicious activities in banking and finance services.
Worked in KYC First Line of Defense
Knowledge of and ability to utilize tools, techniques and processes for gathering data utilizing 3rd party tools such as Dealogic, Dun Bradstreet, LexisNexis, government registries, etc.
Knowledge of various types of customers and ability to analyze customer activities, profiles and source information.
Excellent attention to detail, organized approach and strong problem solving/facilitation abilities
Mature approach with excellent influential communication (verbal/written) skills
Strong time management, work organization and multi-tasking skills with a drive for efficiency, accuracy and risk management controls while maintaining 100% dedication, excellent attitude and flexibility
Proficiency in MS Office - Word, Excel, PowerPoint
Bachelor's degree in Finance or a closely-related discipline, or an equivalent combination of formal education and experience

Responsibilities

Coordinates with internal partners such as Front, Middle, Back Office staff and clients to obtain required information and applicable documentation related to client on-boarding and ad hoc production
Initiates and completes new to bank KYC files and high-risk reverifications inclusive of data input, research and analysis
Identify data anomalies and assist on root cause analysis to minimize errors
Maintain detailed tracking of KYC file status and other customer record activities to ensure completion within required timeframes
Independently manage multiple simultaneous requests inclusive of customer data maintenance in a high-pressure work environment
Promptly address queries and assist with problem-solving matters received from applicable Bank personnel
Maintain working knowledge of all regulatory obligations and be able to relate them to MUFG policies and procedures
Remediate erroneous customer data
Identify, detect, or report suspicious activities in banking and finance services
Serve as a Subject Matter Experts (SME) – for core internal bank system and onboarding & KYC procedures
Independently manage multiple simultaneous requests inclusive of customer data maintenance in a high-pressure work environment
Contribute to workflow or process redesign to achieve efficiency
Manage and deliver individual projects as assigned
Other duties as assigned