JOB TITLE: KYC Analyst and Trade Monitoring
CORPORATE TITLE: Analyst
EFFECTIVE DATE: 2013
TASKS AND RESPONSIBILITIES:
The FCP Department is responsible for oversight of all activities of Newedge USA to ensure compliance with applicable Patriot Act, rules and regulations. This primary responsibility of this position is the Know Your Customer process.
Perform in-depth KYC profile review and determine KYC renewal profiles and requirements of existing clients.
Ensure KYC renewal profile package is completed in accordance with firm's information and documentation requirements.
Review background screening results for derogatory information.
Maintain accurate database tracking regarding the requests for KYC renewals as well as logging in KYCs on a daily basis.
Update KYC Document Management database with KYC renewal information.
Conduct reviews of exceptions from the Trade Monitoring System Actimize on Watch List Filter (WLF) and Suspicious Activity Modules (SAM). Analyze and review alerts as appropriate.
Prepare and submit reports to management on status of KYC renewals.
Work with the various Sales Teams and Sales Management staff
Back up for the Head of AML/FCP, Americas as required.
And other duties or projects, as assigned.
SKILLS AND EXPERIENCE NEEDED :
Bachelor’s degree or equivalent experience
3+ years Financial Services industry experience (FCM/BD, Regulatory or Exchange), preferably within a Compliance, Audit, Risk or Regulatory function dealing with AML and KYC Issues
Experience with Know Your Customer rules and regulations.
Experience with NFA, CFTC, and futures exchange rules and regulations as well as a general understanding of SEC, NYSE, CBOE and /or NASD rules and record keeping requirements.
Strong communication skills.
Be a demonstrated team player that can interact well with all levels of the organization.
Have superior analytical skills and ability to identify problems and generate practical solutions in a logical and complete manner.
POSITION WITHIN HIERARCHY:
Reports to Head of AML/FCP, Americas
LEVEL OF AUTONOMY:
Takes direction from manager and works independently
Newedge - 2 years ago
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