KYC / Client Onboarding Associate (Institutional Clients)

Job Summary
Support the direct team manager on all onboarding processes as part of the Institutional Onboarding pod. This role partners closely with Sales, Clients, Credit, Compliance, Legal, and Regulatory Operations to onboard new institutional clients efficiently and in accordance with AML and regulatory requirements.

Key Responsibilities

+ Compose KYC packages and perform due diligence on new clients based on risk rating, including FinCEN requirements and Enhanced Due Diligence

+ Conduct OFAC and negative news searches on clients and related parties to identify and assess potential risk

+ Review Dodd‑Frank regulatory information and determine sufficiency based on regulatory requirements

+ Evaluate Investment Advisor organizational structures and determine full vs. streamlined KYC onboarding requirements

+ Ensure client packages adhere to internal audit standards and global policies

+ Liaise directly with Front Office...

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