KYC Refresh Analyst

RBC•Bedford, NS

1d•Onsite

About The Position

As a KYC Refresh Analyst within RBC Capital Markets operations, you will utilize your excellent communication and analytical skills to ensure that Know Your Client (KYC) Due Diligence processes are conducted and completed accurately prior to establishing trading relationships with customers. This role involves conducting Global KYC Refresh due diligence and KYC refresh reviews for RBC Capital Markets (RBCCM) in line with global and regional regulatory requirements. You will also conduct KYC due diligence searches and reviews for Low/Medium/High risk clients, act as a subject matter expert on regional KYC/AML regulatory requirements and RBC Capital Market policies, and respond to adhoc requests for information from Front Office partners regarding appropriate KYC documentation.

Requirements

Minimum 1-2 years of KYC/AML Capital Markets experience with a financial institution.
BA/BS or equivalent
In-depth knowledge of global Regulatory requirements (IIROC, FINTRAC, FINRA, FCA, OFSI, IRS, etc.) and/or experience working with regulatory or rule-based environments.
Familiarity with Capital Markets products, trade systems and business lines.
Reporting and tracking using tools such as MS Excel, MS Access/ SharePoint.
Advanced knowledge of CDR, Fenergo, Goldtier, and trading and settlement applications.

Nice To Haves

Certified Anti-Money Laundering Specialist (CAMS) designation
Any financial accreditations such as the Canadian Securities Course (CSC)
Operations or Technology degree, background, or experience
Tax knowledge

Responsibilities

Conduct Global KYC Refresh due diligence and KYC refresh reviews for RBC Capital Markets (RBCCM) in line with global and regional regulatory requirements.
Conduct KYC due diligence searches and reviews for Low/Medium/High risk clients.
Act as subject matter expert on regional KYC/AML regulatory requirements and RBC Capital Market policies (including Canada, US, UK, and Asia Pacific regions)
Respond to adhoc requests for information from Front Office partners regarding appropriate KYC documentation.
Escalate to RBCCM AML Compliance, Global Economic Sanctions or other regulatory subject matter experts on clients identified as high risk or where material adverse information has been identified.
Track documentation that cannot be obtained via internal or public sources and escalate to Front Office/ so outreach to clients may be conducted.
Monitor escalation, refresh and outreach queues to ensure tasks and amendments are executed within agreed upon timelines.
Assist with quality control maker checker/ 4 eye check reviews as required