AML/KYC Specialist (Associate Director)

Wall Street Area, New York

Job Function:

AML/KYC Specialist (Associate Director)


         The candidate will join a team of four KYC reviewers whose role it is to complete the following functions:

  • Review KYCs for the Private Clients business in the U.S., the Institutional DVP Business in New York,  Europe and Asia.
  • Brokerage accounts are opened for varying types of legal entities/persons, including individuals, corporations, foreign financial institutions, personal investment companies (“PICs”), trusts, limited liability companies (“LLC”), funds, private foundations and charities
  • Maintain daily tracking logs for account restrictions
  • Notify the branches of upcoming restrictions
  • Complete KYC escalation forms for politically exposed persons (“PEP”) and clients with material adverse media. The forms will be reviewed by senior management


  • Bachelor’s Degree required
  • 3-4 years KYC review experience in AML Compliance working at a financial institution (either bank or broker-dealer)
  • Spanish language skills required: native or fluency
  • Certified Anti-Money Laundering Specialist (CAMS) preferred
  • Knowledge of working on AML risk assessments is a plus
  • Strong knowledge of reviewing KYCs for corporations, foreign financial institutions, trusts and PICs
  • Experience with Bridger (LexisNexis) a plus
  • Knowledgeable of the laws applicable to money laundering, including:
    • Bank Secrecy Act, the USA PATRIOT Act, OFAC requirements, and FinCEN CDD Rule


Contact Details:

Steve Cebel