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About the Role
Perform daily processing of client onboarding documentation and KYC due diligence, verifying client and KYC information completeness according to anti-money laundering program policies. This role supports onboarding processes, ensuring tasks and data align with AML/BSA policy, and manages the end-to-end KYC process, including client documentation review, due diligence screening, research, analysis, and risk assessment.
Responsibilities
- Perform daily processing of client onboarding documentation and KYC due diligence.
- Verify that client and KYC information is complete according to anti-money laundering program policies.
- Verify and document clients' source of wealth.
- Oversee the collation and review of source documents.
- Perform basic, additional and enhanced due diligence reviews according to KYC policies and procedures.
- Provide support to onboarding processes, ensuring that all tasks and data required are complete and in line with AML / BSA policy.
- Support the end-to-end KYC process; collate and review client documentation, ensure that information provided is in good order and perform KYC due diligence screening on assigned clients.
- Perform research, analysis and risk assessment of new and existing account information based on established processes and policies.
- Ensure that client documentation is properly filed according to document retention policies.
- Be responsible for data entry into core system(s).
- Provide support to team and department projects, as required.
- Support day-to-day interaction with operations teams and internal business units to respond to processing requests and ensure timely resolution to onboarding issues that may arise.
- Prepare reports and status updates to internal and external stakeholders.
- Provide operational coverage across lending operations teams and interact with other infrastructure groups to ensure that KYC and accounts are opened timely and accurately.
Requirements
- Demonstrate a good understanding of KYC requirements as they relate to the completion of documents, customer identification and various due diligence.
- Demonstrate ability to understand KYC risk factors in order to complete risk assessments and draft overall risk summaries.
- Demonstrate working knowledge of AML regulations.
- SMBC requires that employees live within a reasonable commuting distance of their office location.
- Prospective candidates will learn more about their specific hybrid work schedule during their interview process.
- Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.
- SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law.
- If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.
Skills
- KYC
- AML
- BSA
- Due diligence
- Risk assessment
- Data entry
Location
- US
Work Type
- Hybrid
Experience Level
- 0 years
Salary/Compensations
- $63,000.00 - $75,000.00
Benefits
- Competitive portfolio of benefits
About the Company
- SMBC Group is a top-tier global financial group headquartered in Tokyo with a 400-year history.
- SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance.
- The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries.
- Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan.
- SMFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.
- In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru.
- Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients.
- It connects a diverse client base to local markets and the organization’s extensive global network.
- The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.