Partner with Relationship Management and Compliance teams to assist with the preparation, development, due diligence and approval of the electronic Know Your Client (KYC) record and supporting appendices.
Create and maintain KYC records by obtaining information from internal and external sources (firm website, regulatory websites, etc.).
Partner with Relationship Management and Compliance teams to update system information from initiation to approval of KYC record and report workflow progress to supervisor.
Validate the information within KYC records and Customer Identification Program (CIP) documents to ensure completion and accuracy.
Ensure KYC records incorporate local regulatory requirements / Global Business Support Unit (BSU) Standards.
Maintain BSU tool.
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and ...
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