Compliance Associate (KYC)

  • Permanent
  • USA

Imperium Commodity Search

Job Title: Compliance Associate (KYC | Know Your Customer)
Contract type: Permanent
Location: Chicago, New York or Miami | USA
Office Working: In office/potential hybrid model
Salary: Negotiable on experience

Imperium Commodity Search is working with a global FCM & IDB with coverage of all major commodity and financial asset classes in clearing, execution and advisory services.  Our client is currently seeking to expand their compliance onboarding team with a KYC associate to manage the KYC obligations for onboarding new customers (corporate and institutional).

There are presently 2 open positions; one in a supervisory capacity and one desk-level KYC associate.  Our client is a large multinational firm active in both listed/exchange traded and OTC brokerage.

Duties & Responsibilities:

  • Examine onbaording documnetation and work to approve or deny new customer applications for multi-asset divisions of the financial institution
  • Ensure full completion of the required due dilligence process for onboarding new customers
  • Follow KYC guidelines and ensure all facets of onboarding are completed in an accurate and timely manner
  • Raise any AML issues or concerns to the relavent AML and Compliance teams internally to ensure swift follow up and escalation of potential breaches
  • Analyse new customer ownership structure, shareholders and pyramids using internal and external software/sources and databases to ensure full KYC compliance
  • Work with internal compliance and AML teams to ensure all relevant KYC checks and regulatory requirements are carried out suitably and accurately
  • Assist front office sales trading teams on understanding compliance and due dilligence requirements when dealing with customers or escalating concerns
  • Ensure customer onboarding is smooth and efficient whilst strictly adhering to required compliance process
  • Provide ad-hoc compliance and KYC support to the wider business at all levels of seniority as required

Requirements:

  • 2+ years experience in a KYC onboarding or analyst role within a brokerage, bank or financial institution
  • Strong knowledge of KYC and other relevant compliance detail (AML, FINCEN CDD, CIP, OFAC, PATRIOT etc.)
  • Good understanding of different customer classes (corporate, institutional, retail etc.)
  • Knowledge of commodity markets preferred but not essential
  • Ability to work in a fast paced brokerage environment working with front office teams where required
  • Personable and accurate in dealing with new customers and internal/external queries and escalations
  • Excellent communication skills
  • Located in Chicago, New York or Miami, or able to self-relocate to these locations

For a confidential discussion around this opportunity, please contact Mark Taylor at mark.taylor@imperiumcs.com

Alternatively you can apply via our website below, or reach our office at +44 (0) 203 927 5090 (UK) or +1 312 380 0225

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