Job Title: AWM - Operations - AM Alternatives Private KYC Group - Analyst
Duration: 6 months
Location: Dallas, TX ,75201
Summary
- Our Asset Management Alternatives Private KYC Group is seeking a professional who will work with our clients and partner with key stakeholders (Business, Financial Crime & Compliance, Legal, Operations, Quality Assurance).
- We support every deal team in the Alternatives Private division and work with the most senior members of the organization to facilitate an excellent client onboarding experience while mitigating risks associated with fulfilling the requirements associated with local regulations.
- We are the experts in Know Your Client (KYC) requirements and help manage communications with our clients/partners on obtaining the necessary documentation while treating the transactions with the upmost sensitivity.
- Operations span all product lines and markets, serving as internal business partners who develop the processes and controls, and help to specify the systems that deliver accuracy, timeliness and integrity to our business.
- The AM Alts Pvt Operations support the AM Alts Pvt Division, which is the firm's long term principal investing group tasked with raising capital and investing in equity (corporate / growth), real estate, and credit.
- The AM Alts Pvt KYC Group sits within AM Alts Pvt Operations and manages the control framework and oversight of a broad spectrum of firm policies that impact the client on-boarding process.
- The team closely works with Policy & Quality Analytics, Legal, Financial Crime & Compliance teams for successful implementation of policy and control oversight to meet regulatory obligations.
- The team provides opportunity for a dynamic and risk-aware individual to take part in shaping and ensuring compliance with the control framework related to a broad spectrum of firm policies, including but not limited to Know-Your-Client, Client Implementation and Enhanced Due Diligence.
- We also endeavor to provide an excellent client/partner experience while helping to educate our stakeholders on the nuances of requirements per region.
Job Duties:
- Undertake customer due diligence checks to ensure adherence to the Firm's Anti Money Laundering policies, procedures and regulatory framework (such as AML/KYC regulations, Dodd Frank, EMIR, MiFID, FATCA, etc).
- Conduct PEP, sanction and adverse media screening and escalate any areas of concern to Legal and Compliance.
- Work closely with key stakeholders (Business, Financial Crime & Compliance, Legal, Operations, Middle Office) in a fast paced environment to ensure a seamless front to back onboarding and assist with the establishment of new client relationships to facilitate deal investments.
- Communicate effectively with external stakeholders in order to describe our various requirements and reduce back and forth which could result in delays for go-live.
- Support the development of the team's policies and procedures to reflect changing regulatory requirements.
- Provide excellent client service in our responsiveness and accuracy of the requirements in scope depending on the nuances of a particular transaction.
- Timely escalation of any questions or concerns around obtaining requirements in order to fulfill our regulatory obligations.
- Assist with identifying, defining and implementing process efficiencies.
- Perform all necessary regulatory checks to facilitate the opening of new client accounts.
- Participate in ad hoc onboarding projects and strategic initiatives as required.
Skills:
- Bachelor's degree required.
- Proven analytical skills, problem solving ability, and a control mentality paired with meticulous attention to detail.
- Aptitude for building relationships and ability to communicate complex issues to a wide array of internal clients with differing levels of product experience.
- Self-motivated and proactive team player, who takes ownership and accountability of projects, has strong organizational skills as well as the ability to effectively manage competing priorities.
- Flexible and able to work well under pressure in a team environment.
Preferred Skills:
- Knowledge of financial markets and products.
- Knowledge of Customer Identification Programs (CIP)/Know Your Customer (KYC) and relevant regulations is a plus.
- Knowledge of corporate structures and the impact they have on the KYC/AML process.
- Ability to adapt to new changes and new challenges.
- Experience in providing excellent client service.
- Excellent written and verbal communication skills.
- Proactive, self-motivated.
- Prudent in escalating potential risk to the Firm.
Must Haves:
- Bachelor's degree required.
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