SMBC Group

  • Analyst, Client Onboarding - SMBC Nikko Securities America, Inc.

    Job Locations US-NY-White Plains
    Posting Date 2 weeks ago(8/1/2018 11:16 AM)
    Career Category
    KYC
    Position ID
    2018-0354
    Type
    Full-Time
  • Overview

    Reporting to the Manager of the Data Management and Analytics Group (DMG) within SMBC Nikko Securities America, Inc., the Client Onboarding Team Analyst will be primarily responsible for undertaking customer due diligence (CDD and EDD) on prospective customers/ clients for the LATAM desk, conduct background screenings and handle periodic review of customer information and documentation.

     

    Particularly, the Analyst will gather information forwarded to the Client Onboarding Team by the Front Office, review data and documents already within the organization and retrieve additional information from third-party tools and other various sources.

     

    This role requires bilingual English/Spanish skills.

     

     

    *This position will start in New York for training and then relocate to White Plains.

     

     

    Responsibilities

    - Engage internal stakeholders to facilitate the customer onboarding process. Particularly, ensure that new onboarding requests are processed and completed within the expected timeframe.
    - Coordinate approvals releted to customer onboarding across multiple functions / units such as Front Office, Compliance, AML, Middle Office, Operations, Legal and Tax, all in a high pressure / time-sensitive environment.
    - Review corporate documentation, tax forms and other account opening paperwork/information for completeness and accuracy. Validate and enter the relevant information and documentation in the dedicated systems.
    - Updated and/or remediate customer profiles as consequence of material changes or in occasion of periodic reviews.
    - Assist in the enhancement of the Client Onboarding Team Desktop Procedures and materials to ensure that the onboarding / client maintenance process is documented, transparent, consistent, sustainable and effective.
    - Participate in testing of new releases/upgrades of current systems.
    - Run daily/weekly/montly reports and maintain reporting repositories organized.

     

    Qualifications

    Work Experience:
    From 2 to 3 years of specialized experience in Financial Services - Onboarding of Institutional Accounts (e.g. Investment Managers, Funds, Large Corporation, Brokers).

     

    Sills and Abilities:

    - Solid knowledge of US PATRIOT Act, BSA /AML requirements (e.g. CIP requirements; difference between CDD and EDD).
    - Strong understanding of FinCEN CDD Rule, FINRA Rules and FATCA.
    - High competency in using external due diligence and screening tools such as Dow Jones, Factiva, OneSource, LexisNexis.
    - Experience/appreciation for due diligence operations and onboarding applications / systems. Ability to face-off any potential touch-point relative to the onboarding/client maintenance workflow. Ability to execute in a high pressure environment.
    - Good analytical skills, detail oriented.

     

     

    Education:
    BA/BS (or equivalent experience)

     

    Licenses/Certifications/Registrations:

    CAMS

    Business fluency in the following language(s):

    English and Spanish

    Software Systems/Programming Languages:

    Microsoft Office (Word, Advanced Excel Formulas, Power Point). Basic knowledge of SQL is a plus

     

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