Onboarding Analyst

Summary of position

The Client Vetting team of the Operations and Transformation Americas group manages all client on-boarding requests for Americas’ investment banking business lines.

Essential duties and responsibilities

· Analyze and determine account documentation required based upon counterparty type and

products traded as well as approve adequacy of KYC documentation received from

prospective customers.

· Liaise with the Chief Client Office team to gather information and on-boarding documentation

and stay on top of case progress

· Analyze and review client documentation for accuracy based on internal KYC procedures.

· Review entity and individual screenings completed by the screening team for negative news

and PEP checks as well as internal “do not do business lists” via WorldCheck One. Prior

experience applying strong disposition analysis to potential matching results is beneficial in

this.

· Perform basic and standard due diligence on new customer relationships for all Americas

business lines. Entity types include: RIAs, Broker Dealers, Public and Private Corporates,

SPVs/SPEs, Trusts, Banks, Insurance Companies, Local and Foreign Governments and

NBFIs.

· Escalate risks and issues to appropriate management to ensure on-boarding is completed

correctly and efficiently as per KYC procedures.

· Follow internal policies and procedures as well as adapt to changes in procedure or regulatory

requirements as communicated.

· Incumbent is expected to provide a cohesive overall written assessment of the client after

performing KYC due diligence.