RBC is a leading financial institution seeking a KYC Refresh Analyst to join their Capital Markets operations. The role involves conducting KYC due diligence processes and ensuring compliance with regulatory requirements while working collaboratively with various teams.
Conduct Global KYC Refresh due diligence and KYC refresh reviews for RBC Capital Markets (RBCCM) in line with global and regional regulatory requirements
Conduct KYC due diligence searches and reviews for Low/Medium/High risk clients
Act as subject matter expert on regional KYC/AML regulatory requirements and RBC Capital Market policies (including Canada, US, UK, and Asia Pacific regions)
Have intermediate knowledge of non-AML requirements
Respond to adhoc requests for information from Front Office partners regarding appropriate KYC documentation
Escalate to RBCCM AML Compliance, Global Economic Sanctions or other regulatory subject matter experts on clients identified as high risk or where material adverse information has been identified
Track documentation that cannot be obtained via internal or public sources and escalate to Front Office/ so outreach to clients may be conducted
Monitor escalation, refresh and outreach queues to ensure tasks and amendments are executed within agreed upon timelines
Assist with quality control maker checker/ 4 eye check reviews as required
Qualification
Required
Minimum 1-2 years of KYC/AML Capital Markets experience with a financial institution
BA/BS or equivalent
In-depth knowledge of global Regulatory requirements (IIROC, FINTRAC, FINRA, FCA, OFSI, IRS, etc.) and/or experience working with regulatory or rule-based environments
Familiarity with Capital Markets products, trade systems and business lines
Reporting and tracking using tools such as MS Excel, MS Access/ SharePoint
Advanced knowledge of CDR, Fenergo, Goldtier, and trading and settlement applications
