KYC Refresh Analyst
City : HALIFAX, Nova Scotia, Canada
Category : Operations
Industry : Financial/Banking
Employer : RBC
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At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.
Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that matters in the world, in an environment built on teamwork, service, responsibility, diversity, and integrity.
Job Title
Job Description
What is the opportunity?
Do you consider yourself a self-starter with willingness to take the initiative and ability to multi-task? As a Senior KYC 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.
What will you do?
- 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)
- Have intermediate knowledge of non-AML requirements
- 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
What do you need to succeed?
Must-have:
- 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-Have:
- 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
What’s in it for you?
We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
- A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
- Work in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to do challenging work
- Opportunities to build close relationships with clients
- Access to a variety of job opportunities across business and geographies
Job Summary
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Inclusion and Equal Opportunity Employment
At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
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