The Role / Responsibilities :
An individual contributor responsible for internal and customer facing support related to the Know Your Customer (KYC) process, revenue recognition, regulations, projects and other onboarding items which are core knowledge areas for future career growth.
Focuses mainly on the KYC activities at the start of the customer onboarding process and client acceptance procedures, at Manager’s direction, may also work on other onboarding activities after handover to the Ratings team.
Under the supervision of the Manager Sales Operations, works with internal Control functions to review and assess new and existing customers based on Anti-money Laundering (AML) regulations and KYC procedures.
Also identifies and resolves issues causing unbilled and aged Accounts Receivable, produces reports to improve line of sight by the Sales function to issuer related issues and participates in projects focused on regulatory compliance and process improvement.
Purpose of role :
Work alongside Commercial relationship management, Compliance and Legal teams to ensure that the firm's KYC / AML procedures are followed and activities comply with MIS internal controls and regulatory requirements
Monitor mandates beginning at handover through to billing, provide customer support that improves the customer experience and ensures the Sales teams are able to focus on relevant customer related activities
Participate in audits, internal system enhancements and projects as assigned.
Measured on : Timely completion of KYC cases, compliance with KYC procedures and performance on other relevant Sales Operations tasks
Key Responsibilities :
Perform KYC / AML due diligence for new and existing clients using public and internal sources; conduct research and analysis, track and maintain documentation;
meet quality and throughput targets.
Closely follow-up with customers on outstanding documentation and information to meet KYC / AML guidelines; resolve KYC related problems from new and existing clients.
Produce regular reporting on KYC / AML stats for internal stakeholders
Liaise with internal stakeholders to address questions and issues arising from the KYC / AML process; escalate issues where necessary
Assist and participate in the assigned projects
Provide customer support by handling inbound inquiries from Issuers regarding Intralinks, VAT, billing and other invoicing issues.
Work with Legal to address customer requirements for post hand-over deal related documentation
Identify, recommend and work on implementation of opportunities to improve the MIS commercial processes, AML / KYC procedures, and Salesforce data quality in order to improve the issuer experience.
Build and maintain excellent relationships within various internal stakeholders, including Legal, Compliance, Pricing, GMO, Billing and Collections.
Will be responsible for generating reports (e.g. Daily ratings report, creating / adjustment of VAT forms, providing support by gathering data, performing data entry and data clean-up related tasks.
Provide support during internal, external and regulatory audits.
Good knowledge of capital markets
Relevant KYC / AML experience in the financial industry will be highly advantageous
Well-developed IT skills including advanced Microsoft Office applications, PowerPoint and Advanced Excel
Good knowledge of general information systems
Excellent attention to detail
Problem-solving, ability to be presented with issues / problems and be able to resolve and suggest solutions.
Strong written and verbal communication skills
Ability to understand ratings, legal and compliance matters
Ability to develop negotiation skills
Ability to be flexible, work under tight deadlines, organize and prioritize work and deliver results quickly.
Good interpersonal skills and the ability to build strong professional relationships at all levels
Highly organised and efficient, with ability to multi-task
Ability to report and work in multi-cultural team spread in various locations
Highly motivated team player, self-starter and able to work independently without the need for close supervision.
Academic Qualifications / Work Experience
Minimum of Undergraduate / First Level degree preferably in finance, accounting, business, economics or legal
Relevant work experience in the finance services industry is advantageous; preference given to prior KYC / AML, audit and / or compliance experience
Proficiency in spoken and written English, Spanish and Portuguese is required.
Relevant qualification in Financial Crime Compliance or AML is preferred (e.g. CAMS)