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About the Role

Assists in the KYC Refresh of GBM clients, working with business lines and clients, encompassing US KYC/AML, FINRA, BSA, SEC, FATCA, and other regulations impacting the US Business. Escalates KYC, AML, and Sanctions related issues and concerns to appropriate teams.

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 KYC platform tool with new/updated client information, as required.
• Resolve day-to-day matters during the refresh process; escalate complex issues to appropriate departments and team members for resolution.
• Continually acquire and enhance knowledge of the Bank’s and 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 3-5 years in financial services and recognized expertise of current and anticipated regulatory frameworks impacting client onboarding in the US – namely, US KYC/AML, Dodd-Frank and FATCA.
• A sound understanding of the banking and capital markets business is necessary, as is a client-centric approach to the role.
• Must have broad knowledge of the end-to-end workflows among the Front, Middle, and Back Offices.
• 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.
• Knowledge of quality assurance processes.
• Ability to work independently and in a team setting.

Skills

• US KYC/AML
• FINRA
• BSA
• SEC
• FATCA
• Dodd-Frank
• Communications
• Analytical
• Organizational
• Project management
• Planning

Location

• Dallas, Texas, United States

Work Type

• Onsite

Experience Level

• 3-5 years

Education Level

• Bachelor’s degree in business, related field; compliance or equivalent experience

Benefits

• Holistic well-being focus
• Flexible benefit programs designed to 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.

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.