KYC/AML - Senior Onboarding Specialist, Market Operations

Forge Global • Denver, CO

5d • Hybrid

About The Position

The KYC/AML Senior Onboarding Specialist is responsible for ensuring compliance with regulatory requirements by conducting comprehensive due diligence and onboarding processes for new and existing clients. This role involves verifying customer identities, assessing potential risks, and ensuring adherence to Know Your Customer (KYC) and Anti-Money Laundering (AML) policies. The ideal candidate will have a strong understanding of regulatory requirements, exceptional attention to detail, and a commitment to maintaining the integrity of the organization’s compliance framework.

This position is remote in Denver, CO. We intend to open an office in Denver and once we do, we will require hybrid attendance onsite at least 9 days each month.

Requirements

• Bachelor’s degree in finance, law, business administration, or a related field.
• 5+ years of experience in a KYC/AML onboarding role, preferably in banking, fintech, or financial services.
• In-depth knowledge of KYC/AML regulations, including local and international standards (e.g., FATF, OFAC, FinCEN).
• Strong analytical and investigative skills, with attention to detail.
• Excellent written and verbal communication skills for client interaction and reporting.
• Ability to manage multiple tasks and meet strict deadlines in a fast-paced environment.
• SIE and Series 99 required
• certification in AML or compliance (e.g., CAMS, ICA, or similar) is a strong advantage.

Nice To Haves

• Experience with ticketing solutions like Zendesk.
• Familiarity with tools and platforms for identity verification, PEP screening, and transaction monitoring.

Responsibilities

• Conduct thorough KYC checks during the onboarding process, including verifying customer identification documents and information in line with regulatory requirements.
• Perform risk assessments to classify clients into appropriate risk categories (low, medium, or high).
• Identify and escalate potential red flags, including Politically Exposed Persons (PEPs) or individuals on sanctions lists.
• Ensure all customer profiles are accurately maintained in the system and comply with company standards.
• Stay up-to-date with AML/KYC regulations and industry best practices to ensure compliance.
• Assist in implementing internal policies, processes, and procedures to prevent financial crime.
• Conduct ongoing monitoring of client accounts to detect unusual or suspicious activity.
• Collaborate with Compliance, Risk, and Legal teams to manage escalations and resolve complex cases.
• Maintain accurate records of all onboarding activities and supporting documents.
• Prepare detailed reports for audits, regulatory reviews, and senior management.
• Liaise with internal stakeholders, such as Sales, Legal, and Operations teams, to ensure smooth onboarding of clients.
• Provide training and support to team members on KYC/AML policies and procedures.

Benefits

• annual bonus
• background checks that include employment and education verification, state, and county criminal history searches
• equal opportunity employer committed to supporting a diverse and inclusive workplace

What This Job Offers

• Job Type: Full-time
• Career Level: Senior