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About the Role

Assists in the KYC refresh of existing client relationships, working with business lines and clients, and escalates KYC, AML & Sanctions related issues and concerns to appropriate teams. Includes US KYC / AML, FINRA, BSA, SEC, FATCA and other regulations impacting the US Business.

Responsibilities

• Facilitate the Periodic Refresh of US Global Banking and Markets clients in an efficient, compliant and client-centric manner
• Work with team members and stakeholders to implement new procedures and regulations to meet and exceed internal / external audit standards
• Follow and adhere to AML controls, including review of high-risk customers, PEP screenings, and standard KYC / AML procedures
• Update onboarding platform tool with new / updated client information, as required
• Resolve day to day matters during the onboarding process; escalate complex issues to appropriate departments and team members for resolution
• Continually acquire and enhance knowledge of both the Bank’s and the Division’s business strategies and policies, risk management practices and methodologies, product offerings, financial markets, financial instruments, regulatory requirements, and Bank Office processes

Requirements

• Minimum of 1-3 years in financial services and recognized expertise of current and anticipated regulatory frameworks impacting client onboarding in the US – namely, US KYC/AML, BSA, SEC, FINRA and FATCA
• A basic understanding of the banking and capital markets business is necessary, as is a client-centric approach to the role
• Will require work outside of traditional business hours from time to time
• Must be able to operate effectively within a stressful environment with changing priorities and tight time frames
• Ability to work independently and in team setting

Skills

• Compliance or equivalent experience
• Strong communications skills
• Analytical skills
• Organizational skills
• Project management skills
• Planning skills
• Knowledge of businesses, products, operations, systems, and organization

Location

• Dallas, Texas, United States

Work Type

• Onsite

Experience Level

• 1-3 years

Education Level

• Bachelor’s degree in business, finance, legal or related field

Benefits

• Flexible benefit programs designed to help support unique family, financial, physical, mental, and social health needs

About the Company

• Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.
• At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone.

Equal Opportunity

• Scotiabank is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law.