Listing details
- Last verified Oct 30
About the job
Role Description
Perform daily processing of client onboarding documentation and KYC due diligence. Verify that client and KYC information is complete according to anti-money laundering program policies. Verify and document clients' source of wealth, oversee the collation and review of source documents, and perform basic, additional and enhanced due diligence reviews according to KYC policies and procedures.
Role Objectives: Delivery
Provide support to onboarding processes, ensuring that all tasks and data required are complete and in line with AML / BSA policy. Support the end-to-end KYC process; collate and review client documentation, ensure that information provided is in good order and perform KYC due diligence screening on assigned clients. Perform research, analysis and risk assessment of new and existing account information based on established processes and policies. Ensure that client documentation is properly filed according to document retention policies. Be responsible for data entry into core system(s). Provide support to team and department projects, as required.
Role Objectives: Interpersonal
Support day-to-day interaction with operations teams and internal business units to respond to processing requests and ensure timely resolution to onboarding issues that may arise. Prepare reports and status updates to internal and external stakeholders. Provide operational coverage across lending operations teams and interact with other infrastructure groups to ensure that KYC and accounts are opened timely and accurately.
Role Objectives: Expertise
Demonstrate a good understanding of KYC requirements as they relate to the completion of documents, customer identification and various due diligence. Demonstrate ability to understand KYC risk factors in order to complete risk assessments and draft overall risk summaries. Demonstrate working knowledge of AML regulations.
Qualifications and Skills
Recommended years of experience: 0
Additional Requirements
SMBC’s employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.
SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.